Home | Services | Partners | Contact Regulatory Compliance Consulting We focus on corporate compliance management, audit services and risk mitigation for the securities industry. In an increasingly complex compliance marketplace, we can fully prepare a financial services company for all types of regulatory audits. Services include: Regulatory Membership Applications Trade Desk Reviews Preparation and Updates of Compliance Manuals ( Policy & Procedures Manual, Internal Control) Registrations, Initial and Updates (NRD) Anti Money Laundering Audits and Training 90 and 30 day IA & IR Training Programme-Firm Portion Privacy Training Overall Firm Compliance Structure and Support Frontline Technologies Inc. Frontline Technologies is a leader in Information Technology services and solutions with a focus on the specialized needs of clients in the professional, financial and investment banking communities. We provide services that include Hosted Exchange Solutions, ISP, Security, Disaster Recovery Planning and more – a suite of services designed to comprehensively meet your technology needs. We differ from other technology service providers because professional firms can have an array of IT needs met with only one point of contact – Frontline Technologies. This “one-stop shopping” convenience means more accountability, reliability, customized IT service, cost efficiency, and fast response time. We uphold ourselves to high standards of customer service that are second to none. We look forward to working for you. Hawk Partners Ltd. Hawk Partners provides financial and management services on a part-time or full-time basis as required. Their talented team of chartered and management accountants focus on tasks that are regulatory, corporate and/or fiduciary in nature. Services include: Liaison with U.S. Dealers establishing offices in Canada Regulatory Membership Package Preparation CFO Services MFR Preparation and Sign-off Maintaining Accounting Records & Supervisory Accounting Functions Implementation of In-house Accounting Systems Affinity Resource Management Inc. Affinity Resource Management Inc. specializes in financial industry training programs, education, strategy and customized Human Resources solutions. These Human Resources professionals have many years of financial industry experience offering specialized programs. Services include: Strategic Planning & Organizational Design & Structure 30 & 90 day Training for Financial Advisors Benefits Review and Design Customized Training Programs Human Resources Management Penson Financial Services Canada Inc. Penson Financial Services Canada Inc. (PFSC) is the largest independent clearing firm in Canada. Penson offers a broad range of securities, futures and derivatives processing infrastructure products and services, either unbundled or as a suite of end-to-end, fully integrated solutions. Additionally, we support trading in multiple investment products, in multiple currencies, in multiple markets and in multi-lingual applications. Memberships include; Toronto Stock Exchange, Montreal Exchange, CNQ Exchange and the TSX Venture Exchange, is regulated by the Investment Industry Regulatory Organization of Canada, is a member of the CIPF, CDCC and CDS and subscribes to various Canadian ATSs. Services include: Clearing, Settlement and Custody Intelligent Execution Solutions Prime Brokerage Active/Retail Trader Platforms Access to Global Markets Portfolio Margining Market Data Services Investment Advisor Services The Benefits are Clear There is a growing list of functions internal to financial services firms that are necessary to perform and which require significant resources and time. These include Compliance, Human Resources, Accounting and Information Technology services. Through MEG, we provide you with access to a team of field experts who possess the specialized skills .... READ MORE Our advantages include Customized solutions designed for the specific needs of your business Scope of resources who have extensive industry knowledge Leverage a business solutions group focused on meeting the business needs of Independent Brokers & Investment Counsellors READ MORE We're a good fit Compliance & Audit Services Risk Management Registrations READ MORE Copyright 2010 Market Essentials Group. All Rights Reserved.