Financial organizations are required to adhere to strict compliance guidelines to remain operational and to avoid potential litigation. While many organizations dread the compliance portion of their responsibilities, nothing could be more important to the continuation of their business model.

To prevent potential issues, most organizations turn to specialized consultants to ensure that compliance is at the core of their business.

There are a number of benefits of compliance to your organization, including:

• Risk mitigation – protection against litigation concerns
• Consumer privacy protection – protection of client information
• Assurance to consumers that processes are consistent – investors want assurance that their investment and trading activity is being monitored against fraud or misuse of funds
• Review of client transactions to ensure that they are in alignment with the customer’s profile
• Following compliance procedures ensure that crucial paperwork is completed and filed for the required duration of time

To ensure that your organization is and remains compliant, call the professionals at Taurus today at 1-888-963-9519

Taurus offers a team of trained industry professionals who are dedicated to providing the highest quality compliance consulting services in the marketplace. We work with each of our clients to customize a compliance strategy that meets their individual business needs, while satisfying their compliance obligations.

The Taurus team offers:

• Experience – Our staff has extensive Securities Exchange Commission experience working with both individual investment companies and investment advisors to provide a personalized approach to compliance matters.
• Customized Compliance Solutions – We don’t believe in a ‘one size fits all’ compliance strategy. We work to create a customized compliance strategy to integrate into your current business model, creating a synergy between compliance and business operations.
• Affordable Pricing – We offer premium compliance services at affordable prices, giving every broker/dealer the opportunity to leverage superior consulting services to oversee their business operations.

Have you asked yourself any of the following questions?

• Are my organization’s resources being utilized effectively?
• Are my current compliance resources capable of supporting and staying abreast of new FINRA and SEC regulatory requirements?
• Is there a quicker, more effective method to handle regulatory compliance processes?
• Does my team have the regulatory and compliance expertise to do what is expected by regulators?
• Is our operating platform functioning for optimum costs?

Outsourcing to a Securities Compliance Consultant has become a tried-and-tested model, now recognized as a long-term competitive strategy for a broker-dealer’s success. The question is not ‘WHY outsource to a Securities Compliance Consultant’, but ‘WHY NOT outsource to a Securities Compliance Consultant’.

Primary Reasons for Outsourcing

Outsourcing as we know it today is merely a progression of an idea that has existed since early days of trade.

As companies grow in size and operations, it becomes increasingly clear that their focus has to be redirected to their core activities. The non-core functions can be ‘sent out’ or ‘outsourced’ to vendors specialized in that particular function, especially when that function is attempting to comply with FINRA and Securities Exchange Commission rules and regulations.

Why Outsourcing Works

Have you found yourself asking the question, “who is helping me with all of my compliance responsibilities?” You can effectively outsource any of the following activities to Taurus Compliance Consulting, LLC:

• Continuing Education Training Business continuity planning Compliance manuals Anti-money laundering procedures
• Mock FINRA audits Web CRD filings Training manuals and needs analysis State registrations
• Investment Advisor registration Written supervisory procedures SEC mandated accounting audits FOCUS preparation and filing
• Broker/dealer registrations Broker/dealer financial and operations principal (FINOP) outsourcing Net capital computation

Strategic Reasons for Outsourcing

1. Focus on Core Business Functions: Companies that outsource securities regulatory compliance experts are capable of focusing more energy on their core competency.
2. Increased Focus on Mission-Critical Success: Outsourcing securities regulatory compliance processes to external third party ensures that an organization’s internal resources are freed up for more mission-critical activities.
3. Lower infrastructure costs or Overhead: Companies that outsource some securities regulatory compliance functions find that expensive infrastructure requirements are cut back drastically as some of the functions move to external locations by outsourcing these functions to external vendors, companies can keep their investments in these areas very low.
4. Access to the capabilities of Compliance Professionals: Apart from the financial benefits associated with outsourcing compliance, companies also leverage this methodology to have solutions delivered by teams that have securities regulatory compliance expertise. Outsourcing gives companies access to the world-class capabilities of compliance professionals.

Tactical Reasons for Outsourcing

Controlling Operating Costs: Improve operational performance: Companies outsource to vendors who have domain expertise in the outsourced process. Their experience in the field translates into greater operational efficiencies for the outsourcing company.

Why Compliance Matters

Financial organizations are required to adhere to strict compliance guidelines to remain operational and to avoid potential litigation.

Read more >>

Why Taurus Compliance?(read more 1)

Taurus offers a team of trained, industry professionals who are dedicated to providing the highest quality compliance consulting services in the marketplace.

Read more >>​

For more information on how Taurus can partner with you,

call us at 1-888-963-9519

(read more 1)

WHY TAURUS COMPLIANCE?
Taurus offers a team of trained industry professionals who are dedicated to providing the highest quality compliance consulting services in the marketplace. We work with each of our clients to customize a compliance strategy that meets their individual business needs, while satisfying their compliance obligations.

The Taurus team offers:

• Experience – Our staff has extensive Securities Exchange Commission experience working with both individual investment companies and investment advisors to provide a personalized approach to compliance matters.
• Customized Compliance Solutions – We don’t believe in a ‘one size fits all’ compliance strategy. We work to create a customized compliance strategy to integrate into your current business model, creating a synergy between compliance and business operations.
• Affordable Pricing – We offer premium compliance services at affordable prices, giving every broker/dealer the opportunity to leverage superior consulting services to oversee their business operations.

To find out how Taurus can benefit you, contact us today at 1-888-963-9519.

 

Why Outsource Compliance?

Outsourcing to a Securities Compliance Consultant is a tried-and-test model.

Read more >>

Why Taurus Compliance?

At Taurus, we can offer you a team of highly-trained and dedicated professionals. Read more >>

Why Compliance Matters?

Financial organizations are required to adhere to strict compliance guidelines.

Read more >>​