FITS

 

Compliance Services

FITS offers a broad range of Compliance Services to support financial institutions in fulfilling day-to-day obligations of monitoring, advising and educating staff to achieve compliance with government and SRO rules and regulations, and firm policies. Additionally, FITS provides strategic advice and guidance for enhancing overall Compliance Programs and evolving a culture of compliance within a firm. Among the services FITS provides are:
 

Day-to-Day Compliance Activities

  • AML / CIP Support
  • Internal Investigations
  • Transaction and Account Surveillance
  • Education Programs
  • Annual Meetings
  • Firm Element
  • Mutual Fund Sales Practices
  • Investment Advisory Issues
  • Registered Rep, Branch Office and OSJ Reviews

Strategic Endeavors

  • Establishing ‘Risk Based’ Testing and Control systems
  • Business activity/unit compliance reviews
  • Annual 3012/3013 Compliance Reviews and Risk Assessments
  • Developing Policies and Procedures (WSP’s)
  • Developing firm Compliance Programs
  • Performing Compliance System Conversion Reviews