Services
Compliance As A Service
Regulators are sharpening their focus on assessing financial transactions and outcomes. We focus on heavy lifting of the compliance operations so you can focus on your core business
Serving Broker-Dealers, Asset Managers, Registered Investment Advisors and Family offices
Whether it is SEC, FINRA or NFA requirements, we do compliance for you so you can focus on your growth
Code of Ethics Monitoring
Our team performs code of ethics monitoring including personal trade surveillance, outside business activities and more to ensure your employees are complying to the code of ethics
Marketing materials/Advertising review
We review marketing materials at all levels of complexity to comply with the SEC investment advisers act. Our teams are training in efficient processes that avoid any delays and get more approvals on a timely basis for your marketing materials so you can focus on generating more revenues
Compliance Review Testing and Procedural Verification
Conduct Compliance Review/Testing/Procedural Verification critical areas such as trading, insider trading, marketing and advertising, disclosures, portfolio management, client asset safeguarding, records maintenance, cybersecurity, business continuity, privacy protection, personal trading accounts and outside business activities
E-communication survelliance
Our teams both onshore and offshore provides monitoring of all types of e-communications for compliance. Our airtight quality processes ensure we escalate any flagged items on a proactive basis.
Regulatory Reporting & Filings (Form BD, ADV, PF, 13F, 13G, 13H)
Whether it is quarterly , monthly or annual reporting assistance required, we perform all reporting for you. Our trained teams are able to perform data collection, data processing and submission on various regulatory gateways.
AML KYC Operations
AML requires specialized professionals who can keep pace with constantly evolving regulations in this digital age where financial crimes are becoming more sophisticated. Bonova partners with clients to address specific areas in AML BSA compliance. Our staff comprises of former regulators, lawyers, internal audit and AML trained process analysts.
Why Outsource to Bonova?
Regulatory Knowledge
We work with a number of organizations of varying sizes complexities and in various geographies. This has enabled us to have top notch regulatory knowledge in addition to our seasoned expertise of being trusted advisors to CCO, CROs and other risk and regulatory team members.
Create more Bandwidth for time consuming regulatory filings
We support our clients in performing time-consuming filings and FinOps either in additional capacity or independently performing the filings which in turn reduces the burden on the in-house compliance teams.
Transition the cost burden of hiring and training
We have an experienced compliance team positioned to address fast changing regulations with a tight lid on quality control. This helps our clients save time and cost that is spent on hiring recruiting new talent and training them to perform compliance tasks.
Latest Insights
FinCEN’s Beneficial Ownership Rule
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Case Study : Implementing an integrated risk management approach for an investment bank
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CCAR Current & Future Trends
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Fintech Frenzy : Is this the new bubble?
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