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Services

How We Can Help

Regulatory Audit Support

Our team has many years of experience in working effectively with regulators to assist your firm in the audit process…

New Dealer/Adviser Registration

Comarm has a team of experts who can assist clients with getting their company registered as a securities dealer or advisor.

Anti-Money Laundering

Securities dealers and advisors need to have robust AML policies and procedures, including current AML risk assessments.

Registrations

Comarm has a team of experts who can assist clients with their ongoing firm and individual registration requirements, as required by…

Training

Staff training is key to enable securities dealers to meet their regulatory obligations, and to instill a culture of compliance amongst staff.

Client Complaint Handling

The experts at Comarm can help when you don’t have the resources to properly investigate and respond to a complaint.

Expert Witness

As an independent third-party, we provide expert witness services and related support, to both registrants and the public.

Compliance Outsourcing

We provide a broad list of compliance support services. We are happy to discuss any of your specific needs, and offer cost-effective solutions.

Policies, Procedures, and Forms

Comarm has a team of experts who can update and edit your firm’s policies and procedures, or create and customize account…

Information Security

Comarm helps our clients manage and govern their Information Security Program which includes cyber security, and…

Compliance Recruiting

Comarm’s recruiting rates are very competitive. We can fill positions with great candidates, more quickly than other recruiting firms…

Independent Compliance Consultant

Comarm has provided Independent Compliance Consulting services to securities dealers…