COMPLIANCE SUPPORT
With one of the most comprehensive compliance departments in the industry, CAPIS is a trusted guide for navigating today's regulatory landscape. Our executives stay in frequent contact with federal regulators and participate in numerous industry discussions to keep abreast of the latest developments impacting the industry and our clients.
Whether it's 28(e) eligibility, legislative updates, commission disclosure questions, or preparation for a regulatory audit, our compliance expertise is only a phone call away.
Many clients view us as an extension of their own compliance department. CAPIS' team of professionals can help you with:
- Guidance on client commission practices
To request a copy of the Guide to Client Commission Practices Under 28(e), please contact us today. - Regulatory audits
- Disclosure documentation
- Mixed-use documentation
- Product and service eligibility under Section 28(e)
We also offer an online resource library containing information on:
- Securities regulations
- Legal opinions
- Regulatory interpretations
