In-House Outsourced Solution
Do you want to streamline your business and allow more time to focus on providing better service to your clients?
Are you overburdened by compliance and regulatory management?
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Whether you are a financial institution or an independent financial professional, our In-House Outsourced Solution™ enables you to manage your business your way. With our customized program you eliminate operations and compliance burdens while maintaining autonomy. By leveraging our advanced technology and professional expertise you can focus on your business instead of paperwork. We design and implement a program tailored to your needs and provide these services from "your" perspective. We become “you” in all aspects of your business. Take advantage of our ability to create a comprehensive outsourced solution that will alleviate time intensive, resource draining, costly, in-house work arounds.
In-House Outsourced Solution™ Services
BROKER DEALER AND RIA SERVICES
- Execution and Trade Services
- Research
- Soft Dollar and Directed Order Flow Services
- Registered Investment Advisory Services (RIA)
- WebIARD Service Bureau
- Portfolio Balancing
- Private Lockbox Services
- Client Billing Services
- Recordkeeping Services
- Regulatory Liaison
- Management and Operation Reports
- Online Advisor Rep Access and Interface
- Automated Trading and Data Conversion
- Customized Quarterly Statement and Performance Reporting
- Custodian Interface and Reconciliation
- ADV Amendments, Filings and Withdrawal
- Advertising and Brochure Review
- Personalized Quarterly Client Change In Status Notification Letter
- Compliance Manual and Operations Procedures Creation, Review and Update
INTERNATIONAL COMPLIANCE SERVICES
- Marketing Material and Billing Statement Review and Revision
- Broker-Dealer, Investment Business, and Investment Advisor Registration
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COMPLIANCE SERVICES
- Regulatory and Compliance Research
- Operations Integration Regulatory & Compliance
- Needs Analysis and Training
- Regulatory Audit Liaison
- Regulatory Reporting Assistance
- Form Preparation
- Written Supervisory Procedures Creation
- Application Review
- Net Capital and Financial Resource Reviews
- Compliance Manual Creation
- Compliance Audits and Reports to Management
- Regulatory, Accounting and Legal Ruling Request Assistance
BACK-OFFICE OPERATIONAL SERVICES
- Operational Procedures Manual Creation
- New Account Services
- Account and Client Conversion Services
- Portfolio Accounting
- Custodian Oversight and Review
- WebIARD Filing Services for RIAs
- CRD Filing Services for Broker/Dealers
- Operational Procedures Review, Mapping, Design, and Implementation
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BUSINESS SERVICES
- E&O or Other Business Insurance Analysis and Procurement
- Legal Management
- Expert Witness Testimony
- Human Resource Services
- ERISA Plan Design, Implementation and Administration
- Trust Service Procurement And Management
- Marketing Services (e.g. Collateral Production, Distribution and Promotion)
- Client Retention Assistance
- Client Gathering Assistance (e.g. Use of Solicitors, Review of Lead Generation Procedures and Strategy)
- Marketing Allowance Assistance
- Soft Dollars
TECHNOLOGY SERVICES
- Software and Hardware Procurement and Implementation
- Techfi Conversion Services
- Website Design and Hosting
- Data-Mining
- Systems Review and Analysis
- Graphic Design
- Paperless Office Design and Implementation Services
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