Trusted Compliance Assessments
Respected Assessments
Cohasset’s compliance assessments are highly regarded in regulated industries. Our assessments evaluate the features and capabilities of vendor solutions and Company implementations in comparison to stringent information management compliance requirements detailed by various regulatory bodies, self-regulatory organizations, and industry standards.
SEC, CFTC and FINRA Compliance Assessments
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), which definitively defers to the format and media requirements of SEC Rule 17a-4, for the books and records that it requires
Commodity Futures Trading Commission (CFTC) regulation 17 C.F.R. § 1.31(b)-(c), which regulates commodity futures trading
Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments (i.e., MiFID II) and the Delegated Regulation, which supplements MiFID II
Regulatory Assessments
Evaluate functional capabilities and features of the solutions in comparison to regulatory requirements
IRS Revenue Procedure 98-25 and 97-22
SEC regulation 17 C.F.R. § 270.31a-2, which regulates Investment Companies
SEC regulation 17 C.F.R. § 275.204-2, which regulates Investment Advisers
SEC regulation 17 C.F.R. § 240.17Ad-7, which regulates Transfer Agents
Food and Drug Administration (FDA) Part 11
ISO 15489, Information and documentation – Records management
Operations & Technology Assessments
Assess features and capabilities of vendor products and Company implementations of solutions for electronically stored information
Operationalize information-related controls within client processes
Instill continuous improvement
Enable measurable results