Welcome

 


Whether you’re an insurance company, an investment adviser, an investment company, a securities firm, a bank broker-dealer, a bank or a mortgage company, getting the business in today’s competitive market is only half the battle.  Being compliant is the other.  With recent regulatory fines hitting an all time high of $200 million, the message is clear.  Non-compliance can and will cut deep. 

Wondering how to successfully integrate compliance into your business strategies and practices?  Ann Buffie & Associates can help.  We’re a financial services compliance consulting firm that partners with you to design sensible, business-driven solutions that meet your compliance needs.  We offer:

  • Consulting Services

  • Office Inspection Services

  • Compliance Training Products and Services

  • Registration and Licensing Services

  • IMSA

  • Credit Risk Management Services

  • Other Services

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