We are a financial consulting firm focused on providing risk management and business development services to Banks, Broker/ Dealers, Investment Advisors and other financial intermediaries, whether domestic or international. We have over 20 years of experience in managing supervision/business risk and regulatory compliance at major international financial institutions, which allow us to understand the business managers viewpoint and can provide a proactive risk management program for our clients that is practical, scalable and sustainable. Because we have over 20 years of experience in the financial services industry, with focus on bank, broker/dealer and investment advisor oversight, supervision, and regulatory landscape. At CIMA FRC we have: Experience in managing complex regulatory projects, including procedures development, remediations, regulatory actions, rule implementation, risk mitigation practices and talent development Over 20 years of experience in international markets, including managing compliance programs for offshore brokerage and investment advisory businesses, implementing controls around offshore businesses and development of sound business structures for successful international franchises Extensive experience with developing best-in-class Supervisory Oversight, Governance and Enterprise Risk Management framework Extensive experience in successfully managing reviews, whether internal, external or regulatory, including performing regulatory mock exams to assess readiness for regulatory exams
External link for CIMA Financial Regulation Consultants
P.O. Box 266412
Weston , Florida 33326-9998, US
Congratulations Daniel on your appointment as Vector Global Head of US Business. Your contributions to our firm have been invaluable and we will always be grateful. We know you will excel. Vector is very lucky have you join them. We wish you the best!
EXCLUSIVE: VectorGlobal WMG has hired Daniel de Ontanon - Insigneo's former CEO - to lead its US business, Citywire can reveal.
International Wealth Management Services have become an increasingly important business component to every broker/dealer, investment advisor and bank. However, as with all business ventures, international wealth management carries risks. Generally, when speaking about international wealth management services the focus tends to be on anti-money laundering risks and while, certainly, Anti-money Laundering is a pressing concern when doing cross border business it is not the only risk to be considered. Visit us at https://lnkd.in/eGaFat4Q to know more about International Business Services. #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement
Visit our website https://lnkd.in/eSkwy5bt to read our latest 3 blogs. We hope this is helpful for you! #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement
Combating Money Laundering: Global efforts against money laundering include AML regulations mandating due diligence and reporting, KYC practices verifying customer identities, and international cooperation through entities like FATF to set standards and foster collaboration in combating this global issue. Understanding Terrorist Financing: Terrorist financing involves providing funds for terrorist activities. It stems from criminal activities, donations, state support, or seemingly legitimate businesses. Prevention requires collaboration among governments, financial institutions, and law enforcement through monitoring transactions, reporting suspicions, and imposing sanctions. The Role of CIMA Financial Regulation Consultants: CIMA Financial Regulation Consultants, led by Carlos González-Stawinski, offers two decades of expertise in guiding organizations through anti-money laundering and counter-terrorist financing regulations. Providing tailored solutions, they help establish robust compliance programs and ensure clients stay informed in the evolving regulatory landscape. Unveiling the Secrets of Money Laundering and Terrorist Financing. Contact us at https://lnkd.in/dUhPrrGC now! #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #FinancialLaw
Money Laundering: The Fundamentals Money laundering is the process of concealing the illicit origins of money to make it seem legitimate. It involves three stages: placement, layering, and integration. Methods include structuring, trade-based laundering, shell companies, and real estate transactions, complicating the tracing of illegal funds. The Impact of Money Laundering Money laundering poses multifaceted threats: distorts markets, fuels corruption, and deepens income inequality. It empowers organized crime, legitimizing illicit gains. Furthermore, it undermines financial systems, eroding trust and jeopardizing institutional stability. Unveiling the Secrets of Money Laundering and Terrorist Financing. Contact us at https://lnkd.in/dUhPrrGC now! #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement
In the complex world of financial regulations and compliance, understanding the fundamentals of money laundering and terrorist financing is crucial for individuals and businesses alike. At CIMA Financial Regulation Consultants, led by Carlos González-Stawinski, we recognize the significance of grasping these essential concepts. Read the blog to learn more about a comprehensive overview of money laundering and terrorist financing, shedding light on these illicit practices and the preventive measures in place to combat them. https://bit.ly/47lZfHc
Broker dealers are navigating through a challenging and ever-changing regulatory landscape. Whether it’s the implementation of new regulations or assessing the regulatory impact of implementing a growth strategy for your business, we are your trusted partner that will help you navigate the challenges these represent. Visit us at https://lnkd.in/eGaFat4Q to know more about broker dealers. #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement
Last Saturday, we celebrated our Company's 5th anniversary with a beautiful and fun boat ride along the Biscayne Bay. Thank you to our amazing team for joining this celebration and for all the success you brought for the past five years! Carlos Gonzalez-Stawinski Michael Andrews MBA, CAMS Marisel Malave Alejandro Vicens Sandra C. Malave, Esq., CAMS #cimafrc #5yearanniversary
Effective compliance training in the financial services industry is crucial for safeguarding reputation, attracting top talent, and sustaining growth. It prevents breaches, protects the organization's image, attracts skilled professionals, and ensures regulatory compliance, fostering long-term success. If you are looking for compliance training for employees, then contact at https://lnkd.in/dUhPrrGC now! #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement
Improving Operational Efficiency: Compliance training benefits organizations by informing employees about regulatory obligations, leading to streamlined processes and increased operational efficiency. The knowledge gained helps minimize errors, contributing to overall accuracy in tasks. Moreover, efficient compliance practices build customer trust by ensuring their interests are protected, fostering long-term relationships and enhancing the company's reputation. Adapting to Evolving Regulations: Ongoing compliance training is crucial for employees to stay informed about regulatory changes, adapt quickly, and prevent gaps. It also empowers them to anticipate future challenges, gaining a competitive edge. In navigating complex financial regulations, training provides essential skills for understanding and implementing emerging rules. If you are looking for compliance training for employees, then contact at https://lnkd.in/dUhPrrGC now! #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement