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:
Training Products and Services
and Licensing Services