If you are the Owner, CEO, President, Chief Compliance Officer – even the person in charge of marketing – you have a burden to comply with the securities' laws. The Consortium will lift that burden off your shoulders.
The Consortium offers comprehensive services and solutions to Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Financial services firms are subject to federal (SEC), state, and self-regulatory organization (FINRA) securities regulations.
Clients include investment managers (money managers, portfolio managers), financial planners, wealth managers, investment advisors, and broker/dealers.
When you engage The Consortium, you are tapping into the community of services and resources brought to you through the expertise of John Carr, Lisanne Butterfield, and Todd Sakoda. This consortium brings together a body of knowledge of compliance, practice management, business development, and marketing through years of industry and hands-on experience.
Transformyour business with the Consortium
Focusing on how to's and best practices.
Inclusive of the CompliancE-News, you receive value-added research and forms as they are published by The Consortium.
All the news that made the news.
Annual subscription. 12 monthly email issues. A synopsis of speeches, articles, law updates, regulatory missives, and more.
We are proactive in our approach to keep you in compliance.
We will help you to both meet your regulatory requirements and to market yourself.
User-friendly customizable templates, guides, and forms.
Includes research reports and monthly subscriptions to the latest in regulatory news and alert services.
Protectyour license & reputation
Steer Clearof regulatory fines
Our team will work with you offering hands-on consulting, or you can select from a menu of easy-to-use do-it-yourself compliance tools.