COMPLIANCE
COMMITTED TO CREATING A COMPLIANT INVESTMENT PROGRAM FOR FINANCIAL INSTITUTIONS
Avoidance is the best means of risk control. In today’s regulatory and litigious environment, we are seeing financial institutions moving away from investment and wealth management programs due to the increased risks associated with recent government regulations. This is where Virtue Financial and Infinex Investments, Inc. becomes an important and necessary partner. We take on the program management, risk management and compliance designed for financial institution so you don’t have to.
Compliance is the most important part of Virtue Financial. As an Office of Supervisory Jurisdiction (OSJ) of Infinex Investments, Inc. we are committed to creating a compliant investment program for the financial institution. With the founders combined 75 years of experience as former Chief Compliance Officers of registered Broker/Dealers and Investment Advisory firms located in or owned by the financial institutions including regulatory experience and with Infinex providing compliance for bank advisors nationwide, we have the experience and knowledge to keep your financial institution in complete and full compliance with FDIC, NCUA, State Regulatory Agencies as well as FINRA, SEC and now the DOL at all times.
Virtue Financial with the assistance of Infinex stays at the forefront of technology and business innovations, and our compliance goal is to enable, rather than restrict, your program. While regulatory requirements are serious and important, they are also constantly changing and sometimes confusing. It's our job to stay abreast of the changes to help keep your advisors and program educated, protected and compliant.