Investment Advisory

The Investment Advisory business is getting more complex and challenging as increased regulatory focus on the activity of advisors come into effect and more competition enters the field. CIMA Financial Regulation Consultants are here to support you. Because we have developed Investment Advisory protocols to cover registration, Code of Ethics and Fiduciary Oversight strategies, we have the necessary experience to tackle most of the issues faced by today's advisors. Whether it is registration (state, SEC or helping navigate the different possible exemptions), providing content and oversight of the advisory/fiduciary activities, to developing an investment advisory supervision program we can become a partner that will allow you to focus on growing your business in a sound manner.