Compliance Alliance Inc.
If you are an Investment Dealer or Mutual Fund Dealer
Navigating the landscape of constantly evolving regulation and legislation in multiple jurisdictions is mandatory for your firm. The stakes are high as non-compliance can result in severe consequences. You may need assistance with managing the challenges of increased regulation, investment product complexity, and client confidence.
We have a specialized team of compliance professionals who can help you implement compliance programs and tools to help you manage your business conduct compliance requirements. In collaboration with the OPUGEN network of Best Performance Catalysts, we help you align your people, practices, and technology relating to all of your compliance challenges.
Specializations:
Policy and procedure manuals; design and review of applications, forms, disclosures, and agreements; branch audit programs and reviews; leverage suitability programs and reviews; trade suitability programs and reviews; compliance audits and reviews; compliance function and structure assessment; compliance training programs; and anti-money laundering programs and reviews.
The CAI Team
Our premier group of consultants consists of a cross-section of seasoned compliance professionals and chartered accountants with compliance, risk management, audit and regulatory expertise.
Kim Maggiacomo is the President and founder of Compliance Alliance Inc. An established professional with 25+ years of experience in the financial services industry, Kim was an Investigator in the Enforcement Department of the Mutual Fund Dealers Association of Canada (“MFDA”) and has held senior positions in compliance, trading and operations at major firms in the investment industry. Kim has continuously served industry on a number of committees and trade associations including IFIC committees, OSC working groups, CCMA working groups, and in her former role as the Chair of the Association of Canadian Compliance Professionals (“ACCP”).