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