Compliance support. Looking out for you.

CAPIS’ executive team is committed to staying at the forefront of the latest regulatory developments impacting our industry. Regular contact with federal regulators and participation in industry discussions make CAPIS your trusted source for understanding the often complicated and frequently changing regulatory landscape.

We offer compliance expertise on a variety of regulatory topics, such as:
  • Product & service eligibility under Section 28(e)
  • Legislative updates
  • Guidance on client commission practices
  • Commission disclosure questions
  • Regulatory audits
  • Mixed-use documentation
  • Disclosure documentation

In fact, many of our clients view us as an extension of their own compliance department, as our support is only a phone call away.

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