KoreComply Launches as a Regulatory Compliance Provider for Private Capital Markets Intermediaries
KoreComply provides a broad range of regulatory and compliance services, including:
● Outsourced Chief Compliance Officer (CCO), FINOP, and Principal services
● FINRA New Membership Applications (NMA), Continuing Membership Applications (CMA), and MATCON filings
● SEC Transfer Agent registration, annual filings, and ongoing compliance support
● Written Supervisory Procedures (WSP), AML programs, and Business Continuity Plans (BCP)
● Independent AML testing and mock regulatory examinations
● Electronic communications review and marketing material oversight
● KYC and suitability reviews
● Regulatory training and ongoing compliance education
● Technology-enabled compliance infrastructure and workflow systems
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