Softek’s Post

We thrive on the power of collaboration and believe that by joining forces with like-minded organizations, we can leverage diverse expertise and networks to deliver a broader range of solutions to our clients. Learn more about our strategic partnerships with GRMA, Hedgebay Securities LLC Securities and Eleven here: https://lnkd.in/dRnNdcnP #strategicpartnerhships #financialservices #secondarytransactions #digitaltransactions #regulatorycompliance #fundadministration

FORVIS provides an overview of Regulation E and the requirements of the Electronic Fund Transfer Act to help your institution move forward with compliance.

Major financial firm has been fined $1.5 million by FINRA for inadequate supervision, leading to avoidable fees in client transactions. This penalty underscores compliance deficiencies that could have been avoided with stronger adherence to Reg BI standards for client protection and transparency. Read more here: https://lnkd.in/e5nCXhdw. At Softek Compliance, we can help your firm with updating policies and procedures to align with Reg BI requirements and provide training for reps. View our services here: https://lnkd.in/eQUvAYc7. #RegBI #FINRA #SoftekCompliance

ACT NOW !!!! Sovereign Guarantees Just received hot news of a fund that is for investors that have invested in High Risk projects. This fund is designed to reward those brave investors. We have access to this fund, this offer will not last very long !!! The offer is a 3 part process. LTV will be 20%   Trade1:  3 to 4 weeks is 10% very week Then into  Trade 2:  which is a bullet at 100%   Then profits are shared as follows    30% Platform 64% Invester   6 % Commissions    Trade 3: is 40 weeks, return will be very generous !! To start process please send:   KYC on Company that invested in the project.  CIS of the beneficial owners of that Company. RWA, this document would have been issued from the Governmnet that issued the Sovereign Guarantee at the outset. Peter van Dyke + 44 7875 711 033  pvd64@proton.me

Finra has fined a New Jersey based firm for failing to establish, uphold, and enforce WSPs reasonably designed to achieve compliance with Reg BI and Form CRS. See more here: https://lnkd.in/gTm4kVHg. At Softek Compliance, we can help your firm meet Reg Bi and Form CRS requirements to avoid unnecessary fines. View our services here: https://lnkd.in/eQUvAYc7. #RegBI #FormCRS #Finra #SoftekCompliance

FORVIS provides an overview of Regulation E and the requirements of the Electronic Fund Transfer Act to help your institution move forward with compliance.

FORVIS provides an overview of Regulation E and the requirements of the Electronic Fund Transfer Act to help your institution move forward with compliance.

The Financial Commission, a self-regulatory compliance specialist for the financial services industry, is ramping up its scrutiny of unregulated brokerage firms. Today, the independent association warned against a company called Eplanet Brokers.#FinancialCommission #selfregulatory #compliance #financialservices #unregulated #brokerage #EplanetBrokers https://lnkd.in/dK4Atc7t

FORVIS provides an overview of Regulation E and the requirements of the Electronic Fund Transfer Act to help your institution move forward with compliance.

FORVIS provides an overview of Regulation E and the requirements of the Electronic Fund Transfer Act to help your institution move forward with compliance.