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Outsourced Compliance Group services registered investment advisors, commodity pool operators, and commodity trading advisors. Our clients generally service private funds, registered funds, high net worth individuals, retail investors, and commodity pools. Outsourced Compliance Group is boutique by design. Were dedicated to the client experience, thoroughly learning your business, becoming part of your team, and providing consistent communication. Weve never been interested in taking on as many projects as possible. Its our mission to embrace the right relationships so that we can focus on every detail of your compliance program, including unlimited consulting. When we hit capacity, were at capacity. We wont sacrifice the client experience and the quality of our work to bring in more clients. Its ultimately not whats best for you or for us to retain qualified compliance professionals! The difference between working with us or someone else? You can say its day and night. Our core offering is a fully outsourced compliance program. OCG will work with your CCO on an on-going basis to create a customized compliance program. This compliance program will address all aspects of your regulations, as required. We start by drafting your policies and procedures, a comprehensive risk assessment, and develop a customized compliance calendar to test established policies and procedures. The testing we complete throughout the year culminates with the drafting of your annual compliance report. We have standing calls with our clients on a frequent basis and our core service includes unlimited consulting to ensure we are kept up to date on your business changes and can adapt your compliance program as necessary.
Cathay Bank is a Union City, CA-based company in the Financial Services sector.
Since 1961, NDBT has been dedicated to serving our customers and communities by delivering authentic banking solutions for small businesses, entrepreneurs and goal-oriented individuals throughout North Texas. We offer a full range of modern lending services, deposit products and wealth management services that can be tailored to meet virtually any need. With a history of consistent profitability, stable ownership and commitment to our communities, NDBT is proud to be recognized as one of DFW`s largest and most respected independent banks. We understand that changes in technology, the economy and customer preferences will forever shape our industry. These factors will never alter our commitment to providing you with an exceptional experience delivered with Authentic Intelligence. Headquartered in Dallas on the corner of Preston Road and LBJ, NDBT has four additional banking centers located in Addison, Frisco, Las Colinas, and Plano. Member FDIC | Equal Housing Lender. North Dallas Bank and Trust Co is an equal opportunity employer that does not discriminate against sex, race, color, age, national origin, religion, sexual orientation, gender identity, protected veteran status, disability or other protected status.
Joseph Gunnar & Co., LLC was founded in 1997 is a full service broker-dealer dedicated to assisting investors achieve their financial goals by providing a full array of investment products & vehicles to private and corporate clients. Our firms capabilities include a full suite of investment banking, corporate finance, institutional & retail sales and trading and equity research services. We are committed to assisting our valued private clients achieve their financial goals ranging from generating wealth accumulation, funding a college education, planning for retirement, and creating shareholder value. Our product and service offerings provide our private and corporate clients a competitive advantage. As a result of years of relationship building, our private clients have access to investment opportunities not readily available at our larger competitors. Our boutique approach to our corporate clients provides for a value-added component to basic financings not typically experienced at bigger firms. Our Investment Banking division can address a broad spectrum of corporate strategy needs such as mergers & acquisitions and business development initiatives. Our Equity Capital Markets team is dedicated to equity transactions including Initial Public Offerings (IPOs), Follow-On Offerings (FPOs), Private Investment in Public Equities (PIPEs) and Special Purpose Acquisition Companies (SPACs). Our team has access to over 10,000 institutions of all sizes throughout the U.S., Europe, Israel, Asia and South America. Our affiliate, Buttonwood Group Advisors, manages a family of Private Investment Funds that provide retail and institutional investors access to investments in rapid-growth, pre-IPO companies. Joseph Gunnar & Co., LLC is a registered broker-dealer and member of Financial Industry Regulatory Authority (FINRA) and Securities Insurance Protection Corporation (SIPC).
At United Bank, we are committed to the communities of South Alabama.