Cobia Compliance is a full service financial compliance consulting organization.

We will assist your firm in a variety of issues that will allow you more time to focus on your customers and stay in compliance with those that oversee the finance industry. From audits, to annual reviews, to licensing, the professionals with the Cobia Team have the experience and expertise to assist regardless of your unique situation.

 

AML Services

Engaging Cobia Compliance to conduct your AML audit will give you confidence that your firm is in compliance with FINRA’s annual anti-money laundering testing requirements as set forth in FINRA Rule 3310.

 

Annual Reviews & Exams

Cobia Compliance specializes in providing comprehensive compliance services to broker-dealers, investment advisers, and hedge funds.

 

Broker Dealer Licensing & Registration

Cobia Compliance can help you safely navigate the rules and regulations of the financial services industry and feel confident that your business is getting started on the right foot.

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Our Services

AML Services

Engaging Cobia Compliance to conduct your AML audit will give you confidence that your firm is in compliance with your industry’s AML requirements as well other federal regulations such as the Bank Secrecy Act and USA PATRIOT Act.

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Annual Review Exams

Cobia Compliance specializes in providing comprehensive compliance services to broker-dealers, investment advisers, and hedge funds. Our goal is to get to know you, your personnel, and most importantly, your firm.

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Broker Dealer Licensing Registration

When starting a new business, the endless landscape of acronyms like CRD, IARD, and ADV can be overwhelming. Cobia Compliance can help you safely navigate the rules and regulations of the financial services industry .

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Experienced

The Cobia Team is comprised of professionals who offer over 75 years of combined experience across the financial services industry. Their backgrounds include legal, banking, trust, brokerage, insurance, regulatory, and investment advisory.

Certified

  • licensed to practice law in both Mississippi and Texas

  • CFE – Certified Fraud Examiner

  • CAMS (Certified Anti-Money Laundering Specialist)

Local

Located in the Houston, TX area, we are here to serve small to medium size business who are looking for help with their compliance needs.

Resources & Viewpoint

Stay educated and up to date on the best compliance practices.

SEC Fines Advisors for Endorsements

| Investment Advisor | No Comments
Just this week, the Securities and Exchange Commission fined and censured three individual advisers for violating the Investment Advisers Act by using a marketing service that solicited the advisers’ clients…

AML Requirements for Nonbank Residential Mortgage Originators

| AML | No Comments
In our last post we discussed requirements on nonbank residential mortgage originators that became law with the Bank Secrecy Act.  Today we will look at the requirements to establish an…

Evaluating your AML risk

| AML | No Comments
It has often been said that the first step to solving a problem is admitting you have a problem. In the world of AML Audits, that begins with evaluating the risk…
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