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.