SPECIAL SERVICES

IMSA Assessments

• Support in planning internal IMSA assessments and assembling, evaluating and documenting evidence.
• Cost-effective independent IMSA assessments by people who have worked on internal IMSA assessment and who understand how to help you "get to yes".
• Over 50 independent assessments performed with or by our business partner Groner & Associates.

Sales Practices Investigations   Experienced and discrete investigators of potential sales practices cases including multi-client cases, suitability, replacement and financing, misrepresentation, misappropriation, and other compliance or ethics concerns. We understand how to work with Law to maintain privilege and when to report serious matters.

Expert Witness   With our business partners at LIMRA International Regulatory Services, we offer a diverse group of experts in most compliance, securities and insurance product, operations, and other specialties, experienced in dealing with attorneys and regulators.

FinOp Advisory Services   Former FinOps of both smaller and large broker/dealers are available to advise you, assess your practices, and to serve as temporary or part-time FinOps.

Temporary Compliance Personnel   CQP has the ability to place, at low cost, an experienced person on your staff to perform most compliance operations from e-mail review, advertising review, CRD reporting, suitability and pricing review, and many more functions.