Why Frontier Solutions?
Frontier Solutions offers an out-sourced compliance program.
- Complete regulatory supervision of registered representatives
- Review engagement agreements and promotional materials
- Implement Anti-Money Laundering (AML) requirements
- Proper registration and licensing with FINRA and Blue Sky requirements
- Email monitoring and archiving solutions
- Comprehensive investment manager and private issuer due diligence
- Continuing Education program
- Branch office registration and inspections