WHY CHOOSE US?
In the current regulatory environment and after the events of 9-11, the financial crisis, the resulting AML and Patriot Act legislation, and many other resulting rules and regulations have radically increased the role that both the Chief Compliance Officer (CCO) and the Financial and Operations Principal (FINOP) play in a broker dealer.
EXPERIENCE
In an increasingly complex regulatory environment, many firms are now relying on the advice of experienced CCO's and FINOP's. They can help you prepare all the requisite reports, keep procedures, maintain filings, etc. Making sure that they are current and correct.
The biggest value is the advise you can receive in the regular course of business in order to be sure that no securities laws are being broken.
THE SOLUTION
Many broker dealers have realized that outsourcing is not only a great alternative primary source for quality expertise, but also for supplemental advice as well.
The best way to ensure your firm is up to date with the changing regulatory environment is to have a truly independent Team come in and review the work that your staff is conducting today.
WHY EE?
We are a specialized consulting company with a specific target, supporting small to medium sized Broker-Dealers and Independent Advisors with their accounting, compliance and/or FINOP needs.
Outsourcing these duties or adding a consultant to your current teams will allow you to concentrate on your main business tasks, and will ensure compliance in all areas for your firm.
I'M READY, LET'S DO IT!
To schedule a free consultation or to receive more information, simply call us at (786) 663 3786 or e-mail us at finop@elneserenterprises.com
If you need assistance and would like to learn more about our accounting, compliance, financial, or FINOP solutions for your needs.
Call us today!!
