Compliance

Compliance Advisors

Equity Associates is registered as a mutual fund dealer and an exempt market dealer that works with advisors to help them understand the current regulatory environment and the ways in which they can best protect their business.

Just as a solid client relationship is the foundation of your business, we believe that a solid compliance relationship with our advisors is the foundation of ours.  Our team of knowledgeable and experienced compliance professionals provide comprehensive training, and ongoing support that is designed and tailored to your needs. Advisors can expect to be kept informed of the current regulatory environment and any trends and proposals that are under discussion.

In a heavily regulated industry we cannot get away from rules and policies, but we can apply common sense, experience and a unique perspective in working with you to understand your needs and your business.

Components of our Compliance System

Head Office Compliance Staff

Equity Associates has established a compliance team with the primary purpose of supporting our Partners’ businesses. The team will conduct the required daily supervision reviews, review and approve marketing materials, assist in inquiries, and most importantly, support Partners in understanding compliance and regulatory requirements.

Our experienced Compliance team is at your disposal. We provide extensive training for our new Partners and offer ongoing support that is tailored to your needs. Compliance Policies and Procedures are comprehensive and exceed industry standards:

  • All Partners are kept up-to-date on new compliance issues.
  • Comprehensive procedures are in place for daily checking of trades, trust account deposits, and balancing all of the trades.
  • Our experienced Compliance Team provides coaching and compliance maintenance for all new Partners.
  • Annual compliance audits are conducted by experienced, independent professionals. Overview training and pre-audits are also available to assist new Partners.

Support Materials

Comprehensive compliance policies and procedures are available for all Partners upon joining Equity Associates. The Compliance Policy and Procedures Manual documents Equity Associates’ implementation of regulatory requirements and details internal policies and processes.

Regulatory Compliance News Letters and Notices are provided to Partners to ensure they are current with requirements and changes.

Audits

At least once every three years, Branch and Sub Branches will be subject to an internal Compliance Review. Our Compliance Staff will take the time to understand our Partners’ Businesses and respect their office during our visit. A full audit report will be provided for the Partners with clear instructions on how to address deficiencies; partners are not left on their own to decipher compliance.