North American Professional Liability Insurance Agency (NAPLIA) and Regulatory Compliance Announce Strategic Alliance

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Exclusive Program Provides Broker-Dealers and Investment Advisors Compliance Expertise and Reduced Professional Liability Insurance Costs

North American Professional Liability Insurance Agency LLC (NAPLIA) and Regulatory Compliance LLC form a strategic alliance program for registered investment advisors and broker-dealers.

NAPLIA has negotiated with our carriers to recognize firms that utilize Regulatory Compliance services are proactively engaging risk management techniques that warrant direct discounts on their E & O insurance.

North American Professional Liability Insurance Agency LLC (NAPLIA) and Regulatory Compliance LLC have formed a strategic alliance program for registered investment advisors and broker-dealers offering compliance services and resources in tandem with reduced costs on professional liability (errors and omissions) insurance.

Regulatory Compliance’s comprehensive suite of compliance services for broker-dealers and investment advisors include broker-dealer FINRA and state registration; investment adviser SEC and state registrations; CCO Support (Series 24), FinOp outsourcing (Series 27, 28) with accounting and bookkeeping support; Firm Element and AML online training; compliance manuals including supervisory procedures, anti-money laundering, business continuity, identity theft; continuing education training and courses; compliance examinations and testing; and anti-money laundering examinations.

“NAPLIA has negotiated with our carriers to recognize firms that utilize Regulatory Compliance services are proactively engaging risk management techniques that warrant direct discounts on their E & O insurance,” said Gary Sutherland, CEO of NAPLIA.

“When an investment firm utilizes the combined services of both Regulatory Compliance and NAPLIA, it gains the benefits of two premier risk management service providers and the cost efficiencies associated with the firm carrying a reduced risk profile. Both companies offer complementary services to help avoid a disaster that could distract a business from focusing on what it does best,” said Stephen Sussman, President and CEO of Regulatory Compliance.

For more information, please see additional details at http://www.naplia.com/regulatory-compliance.

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