Cima Financial Regulation Consultants

We are a financial consulting firm focused on providing risk management and business development services to Banks, Broker/ Dealers, Investment Advisors and other financial intermediaries, whether domestic or international. We have over 20 years of experience in managing supervision/business risk and regulatory compliance at major international financial institutions, which allow us to understand the business managers viewpoint and can provide a proactive risk management program for our clients that is practical, scalable and sustainable. Because we have over 20 years of experience in the financial services industry, with focus on bank, broker/dealer and investment advisor oversight, supervision, and regulatory landscape. At CIMA FRC we have: Experience in managing complex regulatory projects, including procedures development, remediations, regulatory actions, rule implementation, risk mitigation practices and talent development Over 20 years of experience in international markets, including managing compliance programs for offshore brokerage and investment advisory businesses, implementing controls around offshore businesses and development of sound business structures for successful international franchises Extensive experience with developing best-in-class Supervisory Oversight, Governance and Enterprise Risk Management framework Extensive experience in successfully managing reviews, whether internal, external or regulatory, including performing regulatory mock exams to assess readiness for regulatory exams