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Business Conference


Softek Compliance’s team of professionals can perform e-mail, instant messaging, voice, and marketing reviews as part of monthly compliance outsourcing services. We can also provide expertise and services to support one-time projects as a result of regulatory implementation, assessments, investigations, and/or litigation. Our staff is comprised of trained professionals including previous Series 24 holders and licensed attorneys that have a significant understanding of FINRA Rule 2210, Regulation Best Interest practices, and privileged and confidential communications.





Our surveillance process comprises of systematic monitoring and observation of digital communications, such as emails, instant messages, social media interactions, and other forms of electronic data exchange. We work with clients to understand what kind of surveillance is of need for their firm, and how to perform it in the most efficient manner possible.

Our team of experts can provide e-commerce training that covers the proper use of electronic communication tools within the context of a specific business. Our training program help our clients’ employees understand the importance of secure communication, data confidentiality, and compliance with relevant regulations to maintain the integrity and reputation of their firm. With the use of our training program, organizations can reduce the risk of data breaches, privacy violations, and several other legal and regulatory liabilities related to electronic communication.

Our team is able offer risk assessments that can be customized to the client’s interest and can be completed on an annual, quarterly, or as needed basis. Any written supervisory procedures provided as a result of a risk assessment are also customized on a per business basis, making them curated specifically for each firm’s needs.

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