Compliance Support Services

Compliance Services

last modified: 23 Jan 2017
page manager: compliancess

January 22, 2017 DOL releases more Fiduciary FAQs

The Department has issued more FAQs for advisors and investors which discuss communications and technical issues. The questions are a result of meetings the Department had with stakeholders, both investors and financial institutions. Find the second Conflicts of Interest set of questions here, and the set of questions discussing investor rights here.



January 13, 2017 DOL Releases Fiduciary rule FAQ for Investors and Workers

This is the second set of FAQs the DOL released and they are meant especially for workers and retirement investors. The DOL wants to be sure that consumers have the information they need to make use of the new protections. Review the FAQs here.
Read the first set of FAQs, which were published in October 2016 here.




Compliance is an ever-changing landscape. What stays the same is Compliance Support Services' commitment to you and your regulatory compliance program. Our services include, but are not limited to:

  • Prepare and update your Compliance Calendar so you don't miss any regulatory filing dates.
  • Interpret new regulations applicable to your business into practical processes and procedures.
  • Evaluate your existing compliance system in relation to current regulatory requirements relevant to your business to make sure your procedures and processes are in line with regulatory expectations.
  • Review your Written Supervisory Procedures to ensure they are up-to-date and relevant to your business model.
  • Develop Representative Compliance and Supervisory Manuals as needed.
  • Assist in completing the test and certification reports required by Rules 3012 and 3130.
  • Evaluate your Continuing Education Program and provide a needs analysis and training plan along with suggested courses and training opportunities.
  • Conduct the annual Home Office OSJ audit and annual review of your business pursuant to Rule 3010.
  • Prepare the Firm for regulatory exams.
  • Prepare the application required by Rule 1017 to lift a restriction, add a new business line or other change to your currently approved business activities.
  • Conduct branch audits on a limited basis.

For New Broker Dealers
Remember all the compliance information you received during your pre-membership interview? Not sure how you develop your system of supervision, prepare for your first FINRA examination, or what steps to take now that you are a member? Compliance Support Services can help. Complete the Contact form for more information today.