Broker dealers are navigating through a challenging and ever-changing regulatory landscape. Whether it’s the implementation of new regulations or assessing the regulatory impact of implementing a growth strategy for your business, we are your trusted partner that will help you navigate the challenges these represent.

We can customize a value proposition for you, whether it is for technical support, such as drafting, reviewing, editing Written Supervisory Procedures, Product Programs, Supervisory Programs and Procedures, Evaluating Supervisory Tools (technology), developing Anti-money Laundering Programs and Procedures. We can also assist you in more strategic initiatives such as Enterprise Risk Management Programs, performance of regulatory exams and audits, development of Efficient Organizational Structures, Providing Expertise and Resources for Remediations to Creating and Managing Compliance Programs, whether as an independent consultant or as your Chief Compliance Officer. Regardless of the project, its breadth and scope CIMA Financial Regulation Consultants has the expertise to support you and become your trusted partner.

International Wealth Management Services have become an increasingly important business component to every broker/dealer, investment advisor and bank. However, as with all business ventures, international wealth management carries risks. Generally, when speaking about international wealth management services the focus tends to be on anti-money laundering risks and while, certainly, Anti-money Laundering is a pressing concern when doing cross border business it is not the only risk to be considered. Other risks, such as presence standards, local registration requirements, product selection, client interaction and cross border data travel are some of the other risks typically overlooked which are critical in managing a sound risk program.

Whether you are providing brokerage, investment advisory or banking services, CIMA Financial Regulation Consultants has unique experience in cross border wealth management to help you adequately manage the inherent risks of your international footprint. We have helped clients with creating successful Offshore Programs for international wealth management businesses, defined strategic offshore footprint goals, developed business centric international business programs, including do’s and don’ts, and provided guidance on anti-money laundering policies, procedures and monitoring strategies for offshore businesses. CIMA Financial Regulation Consultants, LLC is your strategic partner for cross border/International Financial Services risk management.

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.

It is every manager’s worst nightmare; a problem has been uncovered that requires for the organization to perform a remediation or a lookback review. Regardless if it is self-identified or mandated, remediations have the same characteristics: they are costly, they can overwhelm existing resources and they require a high level of acuteness to understand the proper way to correct deficiency and how to avoid it in the future. Because our consultants have prior experience in remediation and look back reviews, we can provide vital guidance and flawless execution that will prove to be cost efficient and will allow you close the project in a timely and correct manner. CIMA Financial Regulation Consultants has the necessary acumen to identify the proper course of action when facing a remediation or look back review, develop a protocol that will successfully complete any remediation and provide management with the necessary resources and tools to avoid a recurrence.