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Text Box: The Compliance Department Inc. specializes in providing Compliance out sourcing services to securities broker-dealers and investment advisors as well as banking institutions and insurance companies. Our clients range from individual investment advisors to large independent broker-dealers as well as bank-owned broker-dealers and insurance companies. Through our network of associated compliance personnel and consultants we are able to deliver high quality services at competitive pricing. Our advice represents over 100 years of combined compliance experience in broker-dealers, investment advisors, banking institutions, and insurance companies. The Compliance Department Inc. Broker Dealer Compliance ConsultantsText Box: Compliance SCORE The Compliance Department Inc. is proud to announce Compliance SCORE. Compliance SCORE is a Supervisory Controls - Compliance and Risk Assessment Application designed to provide measurable benchmarks in the firms testing and validation process; commonly referred to as the 3012-3013 process. The new Compliance SCORE tool will allow firms of all sizes to streamline the testing and verification process saving time and money.... <Continue reading> . <View Presentation> 2009 Mile High Compliance Workshop 5th Anniversary The Compliance Department Inc. will once again host "The Mile High Compliance Workshop" June 17-18 -19, 2009 at the Brown Palace Hotel in downtown Denver, Colorado. Now in its 5th year, the workshop brings together Compliance Professionals from all facets of the securities industry. The workshop format creates a unique meeting environment to maximize the exchange of information between both presenters and attendees as well as between the attendees themselves. As the securities industry weathers the challenges of a new presidential administration and the global shifts in how we do business as a result of the credit crises, the Mile High Compliance Workshop addresses the latest in regulatory, industry, administrative, and strategic issues impacting broker-dealers and investment advisor compliance programs. Participants take away a wealth of knowledge in addition to a reinforced network of fellow compliance professionals. Following on the successes of our previous Workshops and by popular demand, each session is being designed to deliver best practices for the topic being discussed. Participants can expect to learn about the hottest industry trends and opportunities as well as recent changes in regulation and oversight. The Mile High Compliance Workshop is the most comprehensive program available - it is the only industry conference that brings together compliance professionals involved in all facets of the securities industry in one event! The speakers, presenters and moderators are leaders in their fields. When you attend the Mile High Compliance Workshop, you know you are getting the best and most up-to-date information available. In addition, you can meet dozens of industry personnel and vendor representatives in a great networking opportunity. To receive a registration form, e-mail us at seminars@thecompliancedepartment.com. If you register by April 15, 2009 the Workshop fee is $555.00 (Our 5th Anniversary price special) . After April 15th the fees is $695.00. A special block of rooms has been reserved at the rate of $199 per night through The Compliance Department Inc. Seminar Department. You can reach us at 866-903-6760. Web Page Compliance Have you seen some of the FINRA fines for companies who choose not to monitor their reps' web pages? The Compliance Department has your answer - web page monitoring. The service includes:   ·         Automatically monitoring rep and branch office websites ·         Daily notification via email of changes made, including every sub page and link ·         Examples of the text that was changed, as well as a snapshot of the page with the changes highlighted ·         Archive of the last 30 changes made to each web page ·         Monitoring websites several times a day for problem reps ·         Notification of dead links on web pages   Prices are as low as $20 per web page. For more information, call the Compliance Department at (303) 339-9870.

 

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