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Finance and Operations

Finance and operations: different subjects, different staff skill-set requirements, different IT requirements, different...

But they are inseparable.

What you require is determined by your registration and type of business; one solution does not fit all.  Whether you are an investment dealer or an adviser you will have choices to make that will impact dramatically your staffing, capital and infrastructure requirements.

Our principals have the experience to:

  • Guide you to the right decision fit your business model,

  • Ensure that your methods of operation allow you to minimize your expenses and capital requirements,

  • Ensure you have the right systems and processes to monitor your capital and capital needs

  • Help you make the right deal with suppliers such as carrying brokers or custodians.

 

Did you know?

The decision whether to be a Level 2 or Level 3 introducing broker is as much a marketing decision as it is an operating and compliance decision?

Our principals’ experience as CFOs or regulators can not only help you save operating costs in the present, it can help you avoid expensive traps and pitfalls and enable you to plan for future needs.


If you plan to start your new IIROC dealer member with the minimum capital requirement of $250,000, you will have negative Risk Adjusted Capital, which is against IIROC rules.

How much capital is enough?  We will guide you.