Consulting Services


From protection to best practices, we know how to help you with your compliance needs – whether you’re a recently established business or have been around for years.  Our consulting services include the following: 

  • Comprehensive Compliance Program Development – To help you develop and strengthen your compliance processes and procedures, we assess your current program and identify any gaps.  We then work with you to design programs that help ensure your business practices and distribution methods are compliant.

  • Code of Ethics Development – To help you communicate your company’s business ethics philosophy and motivate your staff, we create a concise, easy-to-understand document that outlines your company’s desired approach.

  • Compliance Strategies – To help you mitigate risk, we partner with you to implement proven methods and strategies that integrate your key business goals with compliance measures.

  • Complaint Handling Procedures – To ensure that client complaints are handled fair and expeditiously, we customize the complaint handling process to fit your business needs and provide key measures to ensure you stay on track.  Staff training and consulting on tracking systems is also available.

  • Customized Manuals – To help you clearly communicate your compliance and supervisory policies and procedures, we develop manuals for supervisors, registered representatives, investment adviser representatives and insurance agents.  The information, which is tailored to your audience, is presented in an easy-to-use-and-maintain format.  It also meets all regulatory requirements.

  • Disciplinary Guidelines Program Development – To help you effectively evaluate the actions of your sales force, we partner with you to establish a consistent, equitable disciplinary process. 

  • Internet Supervision Strategies – To assist you in spotting potential problems early on, we help you incorporate monitoring and exception reporting strategies. Special Supervision Program Development – To help you mitigate future risk, we work with you to identify and establish the correct level of supervision for each situation.


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Ann Buffie And Associates
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