Navigating the Compliance Crackdown

During the last two decades, the financial services industry has seen major regulatory reform and technological advancements—SOX Act compliance, accounting and SEC regulations, HIPAA protected health information rules, and the development of robust financial reporting software that has resulted in companies being held more accountable to be in compliance and the subsequent increase of non-compliance fines. Today’s leaders of the financial services industry must therefore operate in steadfast compliance through effective, scalable systems and policies in order to succeed. That’s where we step in. 

Why Work with Capsicum

Leveraging our expertise in forensics, strategic planning, business operations, and information technology, we address the issues critical to your bottom line and ensure your organization is within regulatory compliance. We partner with financial institutions ranging from banks and brokerage firms to insurance companies and investment funds. 

Services include:

• Organizational effectiveness
• Security and privacy
• IT/Business strategy alignment
• Leveraging technology for competitive advantage
• Business intelligence
• Technical audits
• Compliance audits and surveys