ALL BUSINESS CLIENTS

Risk Management Training:

CI is involved in risk management training and program implementation.  Beyond training the staff, CI advises the Board of Directors, its sub-committees and its Audit and Risk Management personnel of insurance companies, commercial banks and investment banking.  The advice would focus on the obligations under the Solvency Directives and the Internal Capital Adequacy Assessment Process of Basel II and ”Basel III.”  CI’s role is designed to help institutions develop an effective regulatory compliance and management program to execute the business plan, which considers the following risks and the capital needed to buffer against those risks:

• Credit Risk
• Market Risk
• Operational Risk
• Off-Balance Sheet Risks
• Legal Risk
• Compliance Risk
• Interest Rate Risk
• Reputational Risk
• Product Risk
• Liquidity Risk

CI helps to develop, customize and map the compliance controls for financial adequacy regulations and the interactive system of key risk indicators, stress testing, scenario modeling, model assessment, cross border dynamics, including assessing counterparty credit and securities risks, etc.  CI’s solutions are designed to strengthen insurance companies, banks, investment firms, domestic and international corporations and other companies that strive to succeed in their industries, while managing and hedging their risks vis-à-vis risk management regulations and industry protocols.      

Compliance International, LLC provides a full range of services for Broker/Dealers, Investment Advisers, Investment Companies, Banks, Credit Unions, Investment Banks, Hedge Funds, Service Corporations and Insurance Companies & Insurance Agencies. The following list is illustrative of the products and services provided, but does not represent a complete list. If you have any questions regarding the financial services industry generally, please contact CI.

COMPLIANCE PRODUCTS & SERVICES

Broker/Dealers

• Overall Compliance Review & Testing
• Form BD Registration & Amendments
• Business Expansion Plans
• Advertising & Seminar Review
• Continuing Education Needs Analysis
• Compliance Training of Reps
• Compliance Conference Speaker
• Written Supervisory Procedures Development & Review
• Branch Office Audits
• OSJ & Home Office Audits
• Testing & Verification of Supervisory Controls
• Risk Assessments
• Solicitor Procedures for Investment Advisory Services
• Anti-Money Laundering Procedures & Audits
• Expense Sharing Compliance Review
• Regulation SP & Other Privacy Regulations-Procedure Development & Review
• Web Site Compliance Review
• Compliance Information Technology Review
• Non-US Broker/Dealer Operations & Procedures

Investment Advisers

• Form IARD Registration & Amendments
• Form ADV & Schedules
• Written Supervisory Procedures Development & Review
• Code of Ethics
• Trading Policies
• Aggregation & Order Handling Practices
• Trade Allocation Review
• Risk Assessments
• ERISA Compliance Review
• Custodial Operations Review
• Hedge Fund Adviser Registration
• Hedge Fund Compliance Development & Reviews
• WRAP Fee Program Review
• Solicitor Operation & Disclosures
• Anti-Money Laundering Procedures & Audits
• Privacy Policy Review
• Annual Reviews
• Web Site Compliance Review
• Compliance Information Technology Review

Investment Companies

• Codes of Ethics
• Written Supervisory Procedures Development & Review
• Registration & Registration Exemption Analysis
• Independence Review & Audit
• Operational Audits
• Risk Assessments
• Portfolio Trade Practices Review
• Soft Dollar Practice Review
• Privacy Policy Review
• Investment Advisory Relationship Review & Formulation
• Custody Formulation & Review
• Web Site Compliance Review
• Compliance Information Technology Review

Hedge Funds and Their Advisers

• Investment Management Process
• Side-by-Side Management Issues
• Conflicts Controls & Disclosures
• Trading & Brokerage Issues
• Custody Procedures & Controls
• Code of Ethics
• Fund Structure
• PPM and Private Fund Exemption Controls
• Lockups & Disclosures
• Bicameral Operations of Regulation S/Regulation 144A Offerings
• Client Communication
• Customer Reporting & Valuation Matters Form ADV
• Client Management Agreement & Compliance Procedures

Banks

• Operational Review to Ensure Compliance with Regulations of the Federal Reserve Bank, FDIC, OCC, among others.
• Gramm-Leach-Bliley Act Compliance Review
• Investment Program Formulation & Review
• Business Plan Development
• Analysis of 3rd Party Broker/Dealers
• Marketing Compliance Formulation & Review
• Referral & Incentive Practices Review
• Analysis of Trust Department Operations
• Bank Portfolio Trading Practices Review
• Investment / Merchant Banking Operations Compliance Review
• Web Site Compliance Review
• Compliance Information Technology Review

Credit Unions

• Review of Credit Union Operation to Ensure Compliance with NCUA Regulations
• Investment Program Formulation & Review
• Business Plan Development
• Analysis of 3rd Party Broker/Dealers
• Web Site Compliance Review
• Compliance Information Technology Review

Insurance Companies & Agencies

• Market Conduct Reviews
• Market Structure
• Compliance Procedures
• Networking & Affinity Marketing
• Procedure Reviews per IMSA and other Standards
• Product Design & Filings
• Management & Agent Consultations
• Web Site Compliance Review
• Compliance Information Technology Review