| Compliance Consulting
Capital Forensics, Inc. (CFI) consulting services for the
securities and insurance industry involve all aspects of compliance. Many clients
find CFI to be an especially valuable partner for time-sensitive emergencies.
CFI has also custom-built compliance systems to meet specific client needs.
Support services are available for:
- Design and implementation of:
›› Start-up and/or restructuring of compliance departments or operations
›› Supervisory systems (including written supervisory procedures and other policies)
›› Complaint handling
›› Monitoring programs
›› Advertising and sales material review programs
- Training for compliance staff, operations personnel and distribution affiliates
- Special project management
- Independent compliance evaluations (operational areas and individual brokers)
- Regulatory examination response support
- Regulatory books and record requirements and reporting
Recent engagements include:
- Mutual fund timing study, damage
analysis and compliance implementation
- ERISA compliance audit for managed money
- General compliance reviews for various offices and products
- Money laundering study and investigation
- General fraud analysis
- Performance verification and analysis
Services: Compliance Consulting, Expert
Testimony and Litigation Support,
Data Surveillance and Value-added Services
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