Compliance Support

Our compliance department tries to find ways to do compliant business and say "yes", rather than finding ways to say "no". Our Chief Compliance Officer, Jane Riley, has a sales background and truly understands both sides of the fence when it comes to finding ways to do more business while managing regulatory issues.

Both Jane and her team provide timely and excellent compliance service. Compliance issues usually have a 24-hour turnaround, if not less.

Should you get audited by FINRA, someone from our compliance department will be there to assist you with the audit to make sure that everything goes as smooth as possible.

We have the following fairly simple compliance requirements:

  • Abide by all state and federal securities laws and regulations.

  • Follow all firm policies and procedures.

  • Sign up with Global Relay for email archiving/encryption for all securities-related emails.

  • Participate in the Annual Compliance Meeting, in person.

  • Complete the Annual Regulatory Compliance Questionnaire and Annual Firm Element courses, as requested.

  • Complete your Regulatory Continuing Education when required (every three years).

  • Read all Compliance Bulletins sent periodically via email.

  • Cooperate with other requests that may occur.

For more information, please contact:

Jane Riley

Chief Compliance Officer

(303) 797-9080 x101

J Riley