Scopus Financial Group is a FINRA Regulatory Policy and Legal Compliance company, helping broker-dealers fulfill their regulatory responsibilities while meeting their customers’ needs. With Scopus, broker-dealers navigate regulatory waters with confidence.
Scopus is an invaluable resource to the compliance-conscious broker-dealer. They deliver research that is customized to their client’s business,and stand ready to answer client questions and scope out information that is relevant to the broker-dealers they serve.
Business Consultant Services:
Regulation Best Interest / State Fiduciary Rules - Scopus not only helps clients with Reg BI and Form CRS.but also helps clients evaluate proposed state rules, develop alternative rule language, and prepare informed testimony to state legislatures and securities commissions on the possible effects of proposed rules on legitimate business.
Sales Practice Services - Scopus helps broker-dealers navigate the FINRA and SEC sales practice rules, guiding clients according to their particular products and services; conduct internal investigations for possible noncompliance, help clients review supervisory policies and procedures, apply sales practice rules to new products and services, develop compliance strategies, and resolve particular sales practice issues.
Analysis of Regulatory Technology Software - Scopus helps our clients assess regtech software by analyzing how it would apply to the client's business model, whether it would achieve the advertised purpose, and how well the vendor will perform necessary services.
Training - Scopus assists clients in the development of training programs, developing training content that is tailored to the audience, focused on the important points, and delivered most effectively.
Due Diligence - Scopus helps clients perform due diligence on proposed acquisitions or mergers, with particular emphasis on a firm's compliance history, risk management, and commitment to regulatory oversight.
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