Thursday, November 15, 2007

Compliance Consultancy - Mutual Funds - Investment Banks

3i Infotech

Compliance Consultancy Services - Overview

Keep pace with emerging legal, security standards

To be on par with the global market, enterprises have to keep pace with certain emerging standards and laws that are finding acceptance universally. If you don't live up to these requirements, you face the danger of eroding customer trust, while losing business to your competitors who have already complied.

As part of our Compliance Consultancy Services, we specialize in helping you smoothly comply with 2 of the most imperative standards of today - Sarbanes-Oxley (SOX) Act 2002 and BS 7799.

Sarbanes-Oxley (SOX) Act 2002

Compliance to the Sarbanes-Oxley Act has become imperative today to sustain and improve your internal financial controls. With over a decade of successes in the global financial services industry, we are ideally placed to help you achieve effective compliance.

BS 7799 Services

While ensuring diligence in keeping your information assets absolutely secure, you also have to win the confidence of your customers and business associates about this security. We help you comply with BS 7799, the widely recognized standard for information security management.


United States of America

Balachander Venkataraman
Chief Financial Officer

3i Infotech Inc.,
450 Raritan Center Parkway, Suite B
Edison, NJ 08837.
Tel. 1-732-225-4242
Fax. 1-732-346-1823


3i Infotech Inc.,
10925 Valley View Road, Suite 204,
Eden Prairie, MN 55344
Tel. 1-952-828-9868

3i Infotech Inc.
11920 Burt Street, Suite 150
Omaha, NE 68154
Tel. No: 1-402-333-2020; 1-800-315-0011

San Luis Obispo
3i Infotech Inc
555 Chorro St., Suite B
San Luis Obispo, CA 93405
Tel. 805-544-8327
Fax 805-544-3905


Corporate Office

3i Infotech Limited
Akruti Centre Point, 6th Floor
M.I.D.C Central Road
Next to Marol Telephone Exchange
Andheri (East), Mumbai - 400 093

Tel 91-22-39145700
Fax 91-22-39145520

Registered Office

3i Infotech Limited,
Tower # 5, 3rd to 6th Floors,
International Infotech Park, Vashi,
Navi Mumbai 400 703

Bangalore Office

3i Infotech Limited,
‘Neil Rao Towers’ First Floor, East Wing
Plot # 118, Road # 3, EPIP Zone (Export Promotion Industrial Park)
KIADB Phase 1, Whitefield
Bangalore 560 066


M.B. Battliwala
Senior General Manager

Mobile 91-98212-39419
Fax 91-22-3914-5504


Compliance Solutions Limited


FSA compliance company * FSA compliance consultancy * complaint mediation * company advice * business consultancy * FSA insurance compliance * FSA Mortgage compliance

Business Consultancy

As an external business consultancy Compliant Solutions Ltd acts independently and offers advice that is both client-specific and unbiased. We aim to provide cost effective business solutions to all FSA compliance problems and we are able to benchmark your existing arrangements against those of your peers. We have additionally published articles that we judge to be of value to clients on

Further specific consultancy services offered by Compliant Solutions Ltd include:
Guidance and advice in respect of business acquisitions and due diligence requirements
Preparation of user-friendly documented procedures for performing regulated activities
Drafting annual compliance and money laundering reports to the board
Drafting Terms of Business agreements
Telephone helpline for ad hoc compliance enquiries
Setting up a new FSA regulated business
Assistance with Retail Mediation Activity Returns (RMAR)
Contact us either at the above address, or by sending our Quick Contact Form below, to arrange an initial obligation-free discussion.
Compliant Solutions Ltd
Dickens House, Guithovan Street,
Witham CM8 1BJ
Ian Cass on 0845 009 1220

Furnari Levine LLP


We provide legal, regulatory and compliance counsel to the broker-dealer and investment advisor industry. We guide companies through the National Association of Securities Dealers, Inc. (NASD) new member application process and through changes or amendments to their existing broker-dealer business models. We also form federal and state-registered investment advisors.

We have been involved in the formation or ongoing compliance efforts of over 100 financial services industry firms. We assist clients in negotiating clearing agreements, structuring back office operations, and works closely with accountants and other service providers in the industry.

Specifically, we provide representation and support in the following areas:

· Written Supervisory Procedures and Compliance Manuals
· Continuing Education Plans and Needs Analysis
· Anti-Money Laundering Compliance Plans & Audits
· Business Continuity Plans
· Annual Compliance Meetings
· General Compliance and Consulting
· NASD Web Applications (Registration)
· Review of Business Operations
· SRO Examination Preparation
· Corporate Formation and Governance

Business Law | Broker-Dealers | Investment Advisers | Attorneys | Disclaimer
Resources | Pledge | Speaker Services | Client Comments | Contact

Furnari Levine LLP
11 Broadway | Suite 615 | New York, NY 10004 | +1 212 480 8800

Pricewaterhouse Coopers Canada

Regulatory Compliance

Helping you meet your regulatory compliance
Our regulatory compliance professionals help clients meet regulatory requirements and internal policies and standards in the financial services sector.

To ensure your company meets the appropriate standards, we can identify your current compliance risks, build leading-edge compliance programs, manage compliance infrastructure and measure and monitor actual practices.

Our services include:

Helping clients establish a securities or financial services business including assistance with the admission process to self regulatory organizations such as the Investment Dealers Association, Mutual Fund Dealers Association, and other regulatory bodies requiring licensing

Preparing a best practice compliance manual for clients that meets regulatory expectations

Helping clients build an effective and efficient compliance function
Training clients to understand how to meet changing regulatory requirements and expectations

Helping clients improve back-office operations and internal controls, especially trust accounting, reconciliation and valuation practices

Helping clients respond to regulatory inquiries or investigations, including analysis and evaluation of securities trading activity

Assisting fund governance bodies in executing their mandate by providing independent assessment of compliance activities

Brenda Eprile
+1 416 869 2349

Dorothy Sanford
+1 416 869 2353

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