COMPLIANCE SOLUTIONS
OUR COMPLIANCE SERVICES GUIDE
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Compliance Program Management
Softek’s Compliance Program Management services provide financial firms with ongoing support to help meet regulatory obligations, manage compliance tasks, and maintain an organized compliance framework throughout the year.
We develop and maintain customized compliance calendars tailored to your firm's business model, regulatory requirements, and operational needs. Unlike firms that simply provide a calendar and move on, Softek remains actively engaged with our clients throughout the year, offering guidance, answering questions, and helping navigate compliance challenges as they arise.
Our support includes monthly, quarterly, and annual compliance obligations, including AML monitoring activities, OFAC and 314(a) reviews, employee licensing and continuing education tracking, regulatory updates, employee trade monitoring, restricted and watch list maintenance, electronic communications reviews, annual compliance testing, AML reviews, policy reviews, vendor due diligence, and registration oversight. Through proactive management and ongoing consultation, we help firms maintain a strong culture of compliance while reducing administrative burdens on internal compliance personnel.
Softek’s Policies and Procedures services assist firms in developing, reviewing, implementing, and enhancing compliance documentation designed to meet regulatory expectations while supporting business operations.
We draft and maintain Written Supervisory Procedures (WSPs), Compliance Manuals, Business Continuity Plans (BCPs), Vendor Due Diligence Programs, Privacy Policies, Form CRS disclosures, Cybersecurity Policies, and other critical compliance documentation. Our approach is tailored to each client's business model, ensuring practical and scalable solutions rather than generic templates.
As regulations evolve, we continuously review and update compliance materials to align with industry best practices and emerging regulatory requirements. In addition, we provide monthly regulatory updates that help firms stay informed of new developments and proactively address potential compliance risks before they become regulatory concerns.
Policies and Procedures
Registration (New and Existing Firms and Employees)
Softek provides comprehensive support for broker-dealers, investment advisers, introducing brokers, associated persons, and investment adviser representatives throughout the registration lifecycle.
For investment advisers, we assist with SEC and state registrations, Form ADV preparation and filings, regulatory conversions, and the development of required compliance documentation. For broker-dealers, we provide support with New Member Applications (NMAs), Continuing Member Applications (CMAs), regulatory filings, business plans, organizational documentation, and regulatory communications. For NFA registered introducing brokers, we provide support with registration filings, development of compliance documentation, and other tasks.
We also support firms with employee registrations, Form U4 and U5 filings, Form 8-R and 8-T filings, licensing requirements, and ongoing registration maintenance. From initial application through regulatory approval and ongoing compliance, we help streamline the registration process while minimizing operational disruption.
Disclosure Management
Our Disclosure Management services help firms establish and maintain processes for reviewing, documenting, and monitoring employee disclosures in accordance with regulatory requirements.
We assist with the review and management of Outside Business Activities (OBAs), Private Securities Transactions (PSTs), private investments, and other reportable activities. Our team helps firms evaluate disclosure submissions, assess potential risks, document supervisory reviews, and implement controls designed to identify and mitigate conflicts before they become regulatory concerns.
Conflict Management
Our Conflict Management services help firms identify, monitor, and mitigate actual and perceived conflicts that may arise across business operations.
We provide oversight and support related to employee trading activities, gifts and entertainment reporting, political contributions, and other conflict-related matters. Our team assists with policy development, surveillance programs, disclosure requirements, monitoring procedures, and escalation protocols designed to address regulatory expectations while supporting business objectives.
Through ongoing monitoring and risk-based assessments, we help firms maintain transparency, strengthen controls, and protect both clients and the organization.
Annual Compliance and AML Training and Regulatory Element Monitoring
We provide annual compliance and Anti-Money Laundering (AML) training programs designed to meet regulatory requirements while reinforcing a firm's culture of compliance. We also provide other ad hoc training tailored to specific compliance needs.
Our training programs are customized to reflect each firm's business activities, regulatory obligations, and risk profile. Topics may include AML responsibilities, Code of Ethics requirements, cybersecurity awareness, conflicts of interest, electronic communications, Regulation Best Interest (Reg BI), and other compliance-related subjects.
We also assist firms with Regulatory Element and continuing education monitoring, helping ensure employees complete required training and licensing obligations in a timely manner.
Electronic Communications
Our team performs risk-based reviews of email, instant messaging, voice communications, social media content, marketing materials, and other electronic communications to help firms meet supervisory and regulatory obligations.
Our professionals include former Series 24 principals and licensed attorneys with extensive experience in FINRA Rule 2210, Regulation Best Interest, and communications supervision. We support both ongoing surveillance programs and project-based engagements related to regulatory implementations, examinations, investigations, and litigation matters.
Services include surveillance program design, communication reviews, employee training, risk assessments, escalation support, and policy development to help firms maintain effective oversight and reduce regulatory risk.
Client On-Boarding and Trade Surveillance
We review and assess customer onboarding procedures, account opening documentation, Customer Identification Program (CIP) requirements, customer due diligence processes, suitability and know-your-customer practices, and related supervisory controls. In addition, we provide trade surveillance support designed to identify unusual activity, potential compliance concerns, and areas requiring supervisory review.
Our professionals work with firms to establish risk-based surveillance programs tailored to their business model, products, customer base, and regulatory obligations. Through ongoing monitoring, testing, and analysis, we help firms strengthen controls, identify potential issues early-on, and maintain compliance with applicable regulatory requirements.
Marketing and Advertising Review
Our team assists firms in reviewing and supervising marketing materials to help ensure compliance with applicable SEC, FINRA, and state regulatory requirements.
We review advertisements, websites, social media content, presentations, sales materials, email campaigns, and other client-facing communications for compliance with regulatory standards and internal policies. Our staff are trained professionals including previous Series 24 holders and licensed attorneys that understand FINRA Rule 2210, Reg BI, privileged and confidential communications.
Annual Reviews and Testing
Our team provides objective assessments designed to evaluate the effectiveness of compliance controls, identify areas for improvement, and support ongoing regulatory readiness.
Our services include AML independent testing and risk assessments, branch office inspections, internal controls reviews, annual compliance testing, and Regulation Best Interest (Reg BI) assessments. We evaluate policies, procedures, supervisory systems, documentation practices, and control environments to determine whether they are operating as intended and meeting regulatory expectations.
As part of our review process, we identify potential gaps, recommend practical remediation measures, and provide detailed reporting to management. Our testing programs are tailored to each firm's business model, size, and risk profile, helping organizations strengthen compliance oversight, reduce regulatory exposure, and demonstrate a commitment to continuous improvement.
