Capital Markets ComplianceŽ, LLC
What Makes Capital Markets ComplianceŽ, LLC Different from the rest...?
Diversified Knowledge of the Capital Markets:
After the Gramm-Leach-Bliley Act, financial market participants found themselves surrounded by the possibility of mergers, acquisitions, and creation of dynamic diversified institutions. We at Capital Markets ComplianceŽ, LLC. became aware of a market need for providing these diversified institutions with just-in-time-knowledge information that relates to multiple jurisdictions, products,and services. As a result, we created and continue to build a highly specialized Capital Markets Team to provide to our clients the just-in-time-knowledge they need to expand their business. There is not a single firm in the market providing the diverse financial services we do. As a company, we are interested in advising on all capital markets related issues and becoming a single provider for your company's regulatory and business needs.
All of our consultants are experienced in the compliance arena from the broker-dealer, investment adviser, and banking perspective and all of our consultants have worked as examiners with one or more Regulatory Agencies. Having been former regulators has not changed our views of how business should be run in a financial marketplace, but has directed our instincts for what regulators want and what compliance issues companies must manage. We have provided consulting for broker-dealers, investment advisors, banks, bank holding companies, hedge funds, and futures trading firms located around the world.
Quality of Service:
A characteristic that our client's find attractive is the personalized service we provide. Other firms often have different departments that provide a client with different individuals providing information on different problems/items. This leaves the client with a list of contact numbers in order to reach an individual with the right answer to the problem. We believe that this is not the most efficient use of our client's time.
We take a different approach, assigning you to a knowledgeable, trustworthy, responsive, and pleasant consultant taking the guesswork out of who your contact is at Capital Markets ComplianceŽ, LLC. This person is your "individual consultant" for all issues, however, we know, as well as you do that a single person can never know everything. As a result, all of our consultants will get to know your firm and when a firm's particular issue(s) presents itself that needs answers, you can count on our team to get it resolved.
Responsive Service:
Most of our services are not needed daily; however, when clients need our information they want the information quickly. Our corporate policy is very strict concerning customer contact. As part of our creed, it is necessary to respond to customers quickly in order to provide them with just-in-time-knowledge. We NEVER allow messages to go unanswered and we have a strict return call policy. If a call is received during the day prior to 5:00pm we require a response to the client that day. If the call is left after 5:00pm the response is required the next morning. No call will ever go unanswered for more than 24 hours, even if the consultant's response call is as simple as, "We do not have an answer yet." This keeps a client informed of the consultant's progress. We consider this responsive customer contact and you will not get this kind of response from any other company. Their employees do not have the same "ownership" of what they do everyday; therefore, it is not in the employees best interest to return your call expeditiously. We hold all of our employees accountable for responsiveness.
