Getting registered is only the beginning. Beyond that, KoreConX Compliance Services offers a range of services to ensure that you are always in compliance.
We work with our clients to fulfill their regulatory requirements:
• We tailor polices and procedures to the firm’s specific needs
• Conduct audits of existing activities and ensure adherence to current requirements
• Review all of your documentation and processes and make recommendations to maximize efficiency
• Represent firms in dealings with the regulators
• Provide staff training
• Investigate client complaints and respond on your behalf
• Proactively advise you of issues that could impact your business activities
These services streamline your policies and procedures and ensure that your day to day activities are not only cost effective but efficient.