top of page

INFINEX COMPLIANCE

​

Regulatory and legislative initiatives are constantly shifting and changing. When our financial institutions and financial professionals have compliance issues, they need answers promptly.  They also deserve a team that is approachable, consistent and proactive.

 

You can rest assured that Infinex Compliance has the experience to protect the reputation of your financial institution and your financial professionals.  We stay up to date on the latest regulatory and legislative changes for the investment and banking industry so that we can proactively advise you of best practices. We are an extension of your team and provide regulatory guidance with a pro-business approach.

As a firm owned by nearly 40 financial institutions, Infinex understands the importance of your reputation.

Our top priority is offering the right solutions that will help your clients achieve their goals. 

​

A TEAM DEDICATED TO PROTECTING YOUR REPUTATION...

Picture of William Cummings

William F. Cummings
Senior Executive Vice President, Chief Operating Officer and General Counsel

"As COO and head of the regulatory and compliance group, I am dedicated to assuring that all of our financial professionals can focus on gathering assets as opposed to dealing with operational issues.  From a compliance perspective, we have an approachable, consultative culture to helping our financial professionals." 

Picure of John Cooney

John Cooney 
Senior Vice President, Chief Compliance Officer

“The mission of the Compliance Team is to do the right thing for our clients, and to protect the reputations of our financial professionals and partner banks, in a consultative, client-focused manner.”​

INFINEX COMPLIANCE SERVICES

Compliance is crucial to your business. Infinex clients rely on our in-depth experience working with FINRA, the SEC and with federal and state bank regulators. We give straightforward, reliable guidance on all regulatory fronts so our clients are fully confident, prepared and ready to respond when changes are necessary. The Infinex compliance team supports our clients by offering continuing education and our home office, field and support teams advise our clients every step of the way.

 

Our services include, but are not limited to:

​

  • Advertising Review – 24-hour turn around for advertising submission requests

  • Social Media compliance consulting

  • Assistance and liaison support for regulatory inquiries, examinations and required filings

  • Clear legal guidance and support for E&O issues and subpoenas

  • Comprehensive complaint review, research, communications support, and resolution

  • Continuing Education

  • Licensing and Registration

  • On-site Branch Audits

  • Product due diligence and sponsor research

  • Review of special requests, such as outside business activities

  • Trade Transaction Review

bottom of page