We strategize, formulate and implement

Assess Compliance

Cohasset assesses the features and capabilities of vendor solutions and of Company implementations as compared to stringent compliance requirements detailed by various regulatory bodies.

Conduct in-depth assessments of functional capabilities and features of technology solutions in consideration of SEC, CFTC, and FINRA compliance requirements

  • Securities and Exchange Commission (SEC) regulation 17 C.F.R. §240.17a-4(f), which regulates exchange members, brokers or dealers.

  • Financial Industry Regulatory Authority (FINRA) Rule 4511(c) definitively defers to the format and media requirements of the SEC Rule 17a-4, for the books and records that it requires

  • Commodity Futures Trading Commission (CFTC) in regulation 17 C.F.R. §1.31(b)-(c), which regulates commodities futures trading

Photo by EtiAmmos/iStock / Getty Images

Evaluate functional capabilities and solution features in comparison to other regulatory requirements

  • IRS Revenue Procedure 98-25 and 97-22.

  • SEC regulation 17C.F.R. §270.31a-2, which regulates organizations under the Investment Company Act

  • SEC Regulation 17C.F.R. §275.204-2, which regulates Investment Advisors

  • SEC Regulation 17C.F.R. §240.17Ad-7, which regulates Transfer Agents

  • Food and Drug Administration (FDA) Part 11

  • ISO 15489, Information and documentation- Records Management

Photo by tang90246/iStock / Getty Images

Assess features and capabilities of vendor products and of your company’s solutions for managing electronically stored information

  • Operationalize information related controls within your processes

  • Instill continuous improvement

  • Enable measurable results