Compliance for Financial Services Companies


With the passing of the USA PATRIOT Act in 2001, all financial services organizations – including securities firms, investment management firms, money services businesses (MSBs) and credit card companies – had to significantly change their account verification and record keeping practices.

Today, these organizations have the same regulations that any bank has. U.S. financial services companies and their off-shore offices are responsible for maintaining identifying information concerning all clients, investors and beneficiaries, as well as for knowing the source of their investment funds.

CSI knows financial compliance can be challenging, which is why our suite of compliance software solutions and compliance services offers your company the tools it needs to stay compliant with government regulations. CSI's full array of compliance solutions for financial institutions is:

  • Developed by experts who understand compliance and can provide solutions for adhering to financial regulations
  • Tailored to meet your institution’s regulatory compliance needs
  • Offered with technical support and ongoing access to regulatory experts
  • CSI offers the most up-to-date and cost effective compliance solutions for maintaining compliance with OFAC, the USA PATRIOT Act, the Gramm-Leach-Bliley Act, the Red Flags Rule, the Bank Secrecy Act, Regulation CC, Regulation E and more.

We want you to be able to focus on your customers. And our focus is on you. Just as you are an advisor to your customers for all their financial needs, CSI is your advisor for all your compliance needs.

Over 5,000 clients can attest to the benefit of our Total Compliance Solutions and Trusted Advisory Services. Call us today at 888.494.8449 to discuss your specific regulatory needs.

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