Regulatory and legislative initiatives are constantly shifting and changing. When our financial institutions and advisors 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 advisors. 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...
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 advisors 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 advisors."
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 advisors and partner banks, in a consultative, client-focused manner.”
John F. Martin, Jr.
Vice President, Director of Advisory Compliance
"Suitability, Integrity, Value, Dedication...we have a compliance team devoted to working with our advisors so they can help their clients achieve their financial goals in the best, most fully compliant 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
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