top of page
Image by Kasper Rasmussen


With years of professional expertise, our team is able to act as independent compliance consultants (ICC’s) for your firm. In this role, we conduct thorough and impartial assessments of an organization's compliance processes, controls, and procedures. Including:


  • Reviewing relevant policies and procedures to ensure they comply with regulatory requirements

  • Conducting tests and checks to verify if the organization is following its own policies and procedures

  • Evaluating the effectiveness of internal controls in identifying and mitigating compliance risks

  • Identifying areas of weakness or non-compliance and recommending remedial actions.

  • ·Providing unbiased and objective reports to the organization's management and regulatory authorities




 Softek Compliance branch reviews focus specifically on individual locations within the organization, ensuring that each branch of your business adheres to industry standards and complies with regulatory obligations. Our reviews ensure consistency of compliance across all branches of a company, minimizing potential regulatory risk.

Regulation Best Interest (Reg BI) aims to enhance investor protection and transparency by establishing a higher standard of conduct for broker-dealers when dealing with retail clients. Reg BI seeks to ensure that investors receive suitable recommendations and are provided with clear information about the costs, risks, and potential benefits of their investments. Our team can provide services in application of Reg BI, including:

  • Readiness Assessments

  • Policy and Procedure Development

  • Training and Education

  • Conflict of Interest Management

  • Compliance Monitoring and Testing

  • Compliance Reporting and Documentation

  • Client Communication Review

  • Recordkeeping

bottom of page