Compliance Risk Management & Corporate Governance
Why This is Important to You
The regulatory environment for financial institutions has never been more tumultuous, onerous and risk laden as it is in the wake of 2008 - 2009 global economic meltdown.
Financial services companies from every corner of the industry are feeling the pain and waiting with wonderment and confusion to see in what direction the public and regulatory winds will blow.
One thing is for certain, the level of regulation will increase and so too will the risk of you having your career implode by simply missing one subtle nuance, insight or regulatory shift.
The wealth management industry, along with their banking counterparts are clearly caught in the middle of this maelstrom, as regulators vie to expand their turf and the boundaries between agencies blur.
The need for skilled insight and help with reading the tealeaves has never been more important to you or your organization.
Do you really feel safe shouldering this responsibility alone?
How We Work With You
We work closely with our wealth management clients to develop compliance strategies that respond to the changing shape of our industry. We work with you to put the necessary systems, technology and safeguards in place. This, coupled with our hands-on mentoring enables you to confidently carry out your compliance and governance duties and obligations.
Specifically, the following are some of the ways we help financial institutions like yours:
- Prepare for successful regulatory audits through mock FINRA and SEC exams
- FINRA Rule 3012/3013 testing and reporting
- Develop and tailoring written supervisory procedures
- Conducting compliance due diligence on potential broker-dealer and RIA acquisitions
- Conducting routine branch and OSJ audits
- Sales literature and advertising review and approval
- Operation controls review
What This Means For You
- Peace of mind knowing that industry specialists have reviewed and revised policies and procedures to ensure you are in compliance
- Career continuance, as compliance and regulatory issues in wealth management frequently derail the most well-intentioned managers
- The self-assuredness that comes with knowing those responsible for monitoring and controlling the compliance function have been thoroughly mentored and vetted
- Peace of mind that comes with receiving objective interpretation of current and proposed regulations and legislation with strategic insight into ramifications and tactical advice for creating systems and procedures to ensure compliance
- Improved profits as your compliance partners have strong sales backgrounds and keen eyes focused on optimizing the sales and compliance balance
- Reduced expenses as cutting-edge technologies and sophisticated processes allow you to do more with less
- Reduced expenses through outsourcing technical compliance functions and filings to experienced individuals that do not become a payroll fixture
Who Will Help You
Kane Carlton is a consortium of the best and brightest talent in the wealth management industry. This confederation of seasoned professionals combines decades of practical experience in highly specialized disciplines with a no-nonsense, innovative, results driven focus with a singular mission - to help you.
Thomas C. Kane, Founder and Managing Director
Consulting Associate and Compliance Specialist
Why Kane Carlton
We help our wealth management clients make informed decisions by providing them with research, competitive intelligence, best practices and innovative, objective solutions designed to reduce costs, increase revenue and stay competitive. Yet, unlike pure consulting we pride ourselves on being on the field and in the game with you, focusing on implementing the work product we create.
We understand that the thin line separating a flourishing career from unemployment and a thriving franchise from a failed business is a combination of the decisions you make. So make your first decision the right decision -- decide Kane Carlton.