Financial Compliance

Cape’s Compliance Team is here to support your efforts to help clients reach their goals while staying in line with our risk guidelines. With professional and productive attention, we help our advisors stay up-to-date with compliant solutions and processes.

In an industry that’s constantly evolving, ensuring compliance is vital to your business. One lapse can be detrimental – something you and your business can't afford. The last thing you want is to learn of errors from your clients or from regulators. That’s where Cape’s regulatory expertise enters the picture – to help you avoid the risk of noncompliance and understand the latest compliance best-practices.