Insurance companies know regulatory complexity. State insurance departments — both in their home states and in every state in which they do business — have distinct requirements. The common denominator is the need for an effective approach to compliance and risk management that satisfies both their clientele and the various regulators.
Insurance companies that have broker-dealer and/or investment adviser affiliates face additional layers of regulatory scrutiny from the SEC, state securities departments, FINRA, perhaps a securities exchange or two, and possibly even the CFTC.
The ASCHCO Consulting Group is a team of experienced professionals — former senior regulators and senior legal, compliance, and operations officers — who specialize in the constantly changing and highly regulated world of Compliance and Operational Risk Management across the financial services industry. We offer a comprehensive array of traditional and innovative compliance, regulatory, and risk management products and consulting services, such as drafting policies and procedures and conducting mock audits and branch office examinations. But we offer much more — we assist our clients in making informed choices about compliance, regulatory, and risk management strategies and programs. Choices that are cost-effective and produce good business and compliance results, tailored to the needs of our clients and unencumbered by the exorbitant fees or bureaucracy of the large consulting firms.
We have offices in the New York metropolitan area and Florida and Consultants located throughout the United States. Please contact us, either via email (info@aschcoconsulting.com) or telephone (516.578.8365) for a free consultation and to learn more about the array of traditional and innovative compliance, regulatory, and risk management products and consulting services we offer.