Our process starts with an initial interview to understand the clients’ needs, objectives and scope.

Based on this interview we will work with you to:

• Gain a better understanding of your business needs and strategy that will enable us to establish a long standing relationship.

• Define measurable goals, including timelines for completion.

• Provide solutions that are practical and sustainable for the business.

• Define the appropriate Governance structure and reporting mechanisms to ensure necessary focus for successful completion of project/assignment.

• Conduct post project interview to obtain client feedback and ensure client satisfaction with results.

  Please click here for a detail of services CIMA Financial Regulation Consultants can provide your organization.  
   

Recent Engagements

• CIMA FRC has been retained by a Regional Broker/Dealer and Investment Advisor to develop their cross-border investment program. This includes drafting policies and procedures, reviewing intercompany agreements and client agreements related to offshore business.

• CIMA FRC has been retained by a Global Financial Institution head quartered in Latin America to develop their International Risk and Compliance Program, including designing controls for cross border referrals and data privacy protection protocols.

• A large independent broker dealer and registered investment advisor focused exclusively on international business has engaged CIMA FRC to review and test the Anti Money Laundering surveillance system in use to ensure they are detecting the AML alerts.  This same client hired CIMA FRC to lead their Regulation Best Interest implementation efforts

• An International Bank, with a US based broker dealer and registered investment advisor retained CIMA FRC to lead their compliance and second line of defense efforts, including their Regulation Best Interest implementation efforts.

• A European Investment Advisor and Investment Company has retained CIMA FRC to perform Enhanced Due Diligence on potential Latin American sub distributors of their family of funds.

• CIMA FRC consultants have been retained as Chief Compliance Officer for broker/dealer and Investment Advisor

• CIMA FRC was asked by Registered Investment Advisor to perform their annual tests under rule 206(4)-7 of the Registered Investment Advisors Act of 1940

• A bank based broker/dealer and Registered Investment Advisor asked CIMA FRC to perform their yearly broker dealer exam under FINRA Rule 3120 and  under rule 206(4)-7 of the Registered Investment Advisors Act of 1940.

Call us to find out what we can do for you! 954-727-3118