WE ARE YOUR OUTSOURCING ALTERNATIVE
Advice, Assistance, and Direction, that's Practical, Innovative, Cost Effective, and Tailored to your Specific Needs.
Provide compliance, administrative, operational, trade support, general management advice and support to local, national, and international financial service organizations.
Create and customize policies and procedures, designed to fit individual client needs. Enhance existing supervisory, trading, operations, personnel, ethics and compliance manuals.
Guidance through the regulatory membership process at the SEC FINRA, NFA, and Other Major Exchanges as well as various State Jurisdictions.
Assistance with the FINRA Continuing Membership Process.
Create Continuing Education Plans, and conduct Annual Compliance Meetings.
Interpret newly created or amended regulatory rules and regulations enacted by securities and banking regulators and translates them into an understandable practical format.
Conduct "MOCK" FINRA and SEC Broker-Dealer, SEC Investment Advisor, and NFA audits.
Perform Regulatory Specific and Directed Audits.
Conduct Independent OATS, ACT, and TRACE audits.
Perform Independent annual audits of Anti-Money Laundering (AML) programs as required by the provisions of the USA Patriot Act.
Create and implements Business Continuity Plans.
Conduct Organizational Annual Compliance Audits.
Assist in the CEO Annual Certification Process.
RENT A PRINCIPAL
Our organization has the infrastructure and the personnel to act in a temporary managerial and financial principal capacity for organizations in transition.
We provide interim licensing solutions in various principal capacities such as FINOP, General Securities, Options, and Municipal Principal Capacities.
Our Principals have 30 to 40 years of practical as well as regulatory experience in the financial services industry. Kapco Group is currently serving as the compliance department and/or principal sounding board for over 20 Broker-Dealers, Investment Advisors, Commodities, and Bank affiliated companies.