Our clientele
The clientele we serve
SECURITIES BROKERS
EXACTF services for securities brokers
At EXACTF, we understand the unique challenges securities brokers face in an ever-evolving regulatory environment. Our specialized services are designed to ease your administrative burden, ensure your compliance, and optimize your operations.
Our services include:
- Part-time Regulatory CFO: An experienced financial officer to meet your financial and regulatory compliance needs, without the need for a full-time commitment.
- Outsourced Accounting: Full management of your accounting needs, including the preparation of financial statements, regulatory financial reports, and performance analysis.
- Compliance Consulting: Strategic support to develop, review, and implement compliant policies, as well as assess risks and strengthen your internal processes.
- Anti-Money Laundering Surveillance: Review and update of your policies and procedures, risk assessment, and analysis of your ongoing training program to meet current legal standards.
- Registration and Filing Management: Handling registration requests with the CIRO, regulatory filings, and managing platforms like BDNI (NRD).
- Support for the Chief Compliance Officer (CCO): Personalized assistance to meet daily and strategic requirements, including preparation of annual reports.
- Review of Marketing and Advertising Materials: Validation of your communications to ensure they comply with applicable regulations.
- Tailored Training: Customized sessions to train your teams on key topics such as compliance, anti-money laundering, and regulatory obligations.
With EXACTF, you benefit from proven expertise and a trusted partner to navigate the complexities of the securities sector. Our goal is to allow you to focus on your growth and strategic priorities while ensuring flawless compliance.
PORTFOLIO MANAGERS
EXACTF services for portfolio managers
At EXACTF, we know that portfolio managers operate in a complex environment that requires balancing financial performance and regulatory compliance. Our tailored services are designed to support your operations and effectively meet your obligations while allowing you to focus on managing your assets and client relationships.
Our services include:
- Part-time Regulatory CFO: An experienced financial officer to meet your financial and regulatory compliance needs, without the need for a full-time commitment.
- Outsourced Accounting: Full management of your accounting needs, including the preparation of financial statements, regulatory financial reports, and performance analysis.
- Compliance Services: Strategic support to develop and implement compliant policies and processes, ensure regulatory obligations are met, and prepare annual CCO reports.
- Registration and Regulatory Filings Management: Assistance with preparing and filing registration requests with regulatory bodies and managing NRD.
- Anti-Money Laundering (AML) Review: Rigorous assessment of your policies, procedures, and training programs to ensure compliance with current AML requirements.
- Specialized Training: Tailored sessions to train your teams on key topics such as compliance, risk management, and anti-money laundering.
With EXACTF, you gain a strategic partner who understands your unique challenges as a portfolio manager.
Our expertise allows you to remain compliant, efficient, and competitive in a highly regulated environment.
LAW FIRMS AND PROFESSIONAL SERVICES:
EXACTF services for law firms and professional services
At EXACTF, we work with law firms and professional service firms to meet their clients’ needs in compliance, regulation, and operations. Our experienced experts provide specialized consultation services essential for professional firms and their clients, whether they are in the startup phase or already established as investment advisors or securities brokers.
Our services include:
- Assistance with the registration process: Advice and solutions on operational and regulatory structures, preparation of financial projections, and regulatory capital calculation.
- Regulatory Compliance Consulting: Full support for managing regulatory obligations, including support for inspections and corrective measures.
- Independent Consultant for Regulatory Audits: Serving as an independent consultant in response to regulatory findings or during disputes.
- Operational and Compliance Support for Clients: Strategic support for investment advisors or securities brokers, including managing compliance and operational processes.
- Expert Testimony and Professional Opinions: Supporting complex cases with credible testimony and in-depth analysis, based on recognized industry expertise.
Our professionals possess deep and diverse expertise, enhancing the credibility of their opinions and their value in legal or regulatory actions. Their in-depth knowledge of the sector and experience in demanding contexts makes them indispensable partners for law firms and their clients seeking reliable, strategic solutions.
With EXACTF, you gain a trusted ally to navigate legal and regulatory challenges with rigor and efficiency.
ADDITIONAL CLIENTELE
Strategic solutions to support your growth
At EXACTF, we assist financial organizations by offering strategic services that promote their development while meeting today’s requirements. Our expertise spans a diverse clientele, including hedge funds, private equity firms, insurance companies, banks, and mutual funds.
We offer personalized services focused on the development of effective strategies, technological integration, and process optimization. With our extensive experience and understanding of industry challenges, we work closely with financial institutions, investment funds, and institutional investors to resolve their most complex issues.
With a proactive approach and innovative solutions, we help our clients adapt to sector changes and build sustainable growth. Through EXACTF, you benefit from a tailored approach that allows you to turn your ambitions into tangible results.
For an exploratory meeting
We would be delighted to discuss with you the various ways in which we can support you, whether for your outsourcing needs, consulting or in the search for customized solutions.