Scopus Financial Group

Name

Scopus Financial Group

Legal name

Scopus Financial Group

Website

https://scopusfinancial.com

Company type

Private

Founded year

2019

Operating status

Operating

Headcount range

1–10 employees

Ownership category

akta.pro rank

Product category

Broker-Dealer Regulatory Compliance Consulting

NAICS

Management Consulting Services (54161)

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Financial Management & Performance Improvement Consulting (BPAHACAF)

akta.pro secondary industry

Corporate Finance & Capital Advisory (BPAHADAB)

Keywords

• Broker-dealer regulatory consulting
• FINRA compliance advisory
• Regulation Best Interest services
• Securities litigation support
• Regtech software analysis

Headquarters

HQ city

Silver Spring

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales

Revenue model

1. Professional Services: Customized research and professional services delivered to broker-dealers. Services include regulatory compliance consulting, litigation support, training, due diligence, and regtech software analysis. Revenue is derived from professional consulting engagements tailored to client needs.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels2 records

Core offering

Scopus Financial Group provides customized regulatory consulting and professional services to broker-dealer firms, including Regulation Best Interest and Form CRS implementation, navigation of FINRA and SEC sales practice rules, internal investigations, litigation support, independent consulting for enforcement settlements, expert witness services, regtech software assessment, tailored training programs, and due diligence services for mergers and acquisitions. Services are tailored to each client's business model and delivered as bespoke advisory engagements.

Product overview

Scopus Financial Group operates as a single unified advisory offering rather than a modular software platform. The company provides customized research and professional regulatory consulting services to broker-dealers, delivered through six interconnected service areas: Regulation Best Interest implementation support, Sales Practice Services, Litigation Services, Regtech Software Analysis, Training, and Due Diligence. These services are tailored to each client's particular business model and are designed to work together as a comprehensive compliance solution, with expertise drawn from former FINRA regulatory leadership.

Differentiator

Problem solved

Functional benefit

Products and services

• Regulation Best Interest / State Fiduciary Rules Services Comprehensive advisory services helping broker-dealers implement Regulation Best Interest (Reg BI) and Form CRS, including policy and procedure development, compliance assessment strategies, and Form CRS implementation. Also includes evaluation of state fiduciary rules, alternative rule language development, and preparation of informed testimony to state legislatures and securities commissions.
• Sales Practice Services Advisory services helping broker-dealers navigate FINRA and SEC sales practice rules, including internal investigations for possible noncompliance, supervisory policy and procedure reviews, application of sales practice rules to new products and services, compliance strategy development, and resolution of particular sales practice issues.
• Litigation Services Broker-dealer litigation support including internal investigations concerning possible noncompliance with FINRA or SEC rules, consultation on particular litigation issues, service as independent consultants in enforcement settlements, mediation of disputes, and expert witness services in selected cases.
• Regtech Software Analysis Assessment of regulatory technology software for broker-dealers, including analysis of how the software would apply to the client's business model, whether the software would achieve its advertised purpose, and evaluation of vendor performance for compliance with FINRA and SEC rules.
• Training Services Development of customized training programs for associated persons and principals, including Reg BI compliance training tailored to specific audiences and delivered in a manner that effectively explains complicated rules and their application to business.
• Due Diligence Services M&A due diligence services for proposed acquisitions or mergers, with emphasis on assessment of compliance history, risk management, and commitment to regulatory oversight at the target firm.

Segments1 record

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves4 records

Expansion highlights3 records

Broad incumbents

• PwC: PwC's Financial Services practice provides regulatory advisory, compliance transformation, and litigation support to broker-dealers and investment managers. Comparable as a broad incumbent offering overlapping services at enterprise scale.
• Sidley Austin: Sidley Austin's Financial Services practice advises broker-dealers and investment advisers on regulatory compliance, enforcement matters, and litigation. Comparable as a major law firm offering overlapping regulatory advisory and litigation services.
• Kroll (Duff & Phelps): Kroll's Financial Services Advisory practice includes broker-dealer regulatory consulting, compliance investigations, and expert witness services. Comparable as a broad incumbent with significant broker-dealer experience and litigation support overlap.
• Deloitte: Deloitte's Financial Services Regulatory & Compliance practice delivers large-scale regulatory consulting, sales practice reviews, and litigation support to broker-dealers. It competes with Scopus on Reg BI and FINRA advisory mandates but operates at vastly larger scale and scope.
• KPMG: KPMG's Financial Services Regulatory practice offers compliance advisory and regulatory remediation services to broker-dealers and asset managers. Comparable as a broad incumbent capable of bidding for Reg BI and sales practice engagements.
• EY: EY's Financial Services Regulatory Consulting serves broker-dealers and wealth managers on compliance program design, Reg BI, and supervisory frameworks. Comparable as a broad incumbent offering overlapping services.
• Eversheds Sutherland: Eversheds Sutherland has a substantial Financial Services Regulatory practice advising broker-dealers, investment advisers, and funds on FINRA and SEC matters. Comparable as a large law firm offering regulatory advisory, litigation, and compliance counseling overlapping Scopus's services.

Direct peers

• National Regulatory Services (NRS): NRS provides regulatory compliance education, consulting, and compliance software for broker-dealers and investment advisers. It competes in the same regulatory training and compliance consulting niche as Scopus.
• ACA Group: ACA Compliance Group (now ACA Group) is a leading independent provider of governance, risk, and compliance services to the financial services industry, including broker-dealers, RIAs, and investment managers. It is directly comparable as a specialist advisory firm serving regulated financial-services firms on supervisory, compliance, and regulatory exam matters.
• Cipperman & Company: Cipperman Compliance Services provides outsourced compliance, regulatory consulting, and supervisory support to broker-dealers and RIAs. It is comparable in operating model as a boutique compliance advisory serving the same regulated-firm customer base.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks6 records

Key highlights5 records

Customer concentration

• LinkedInlinkedin.com/company/scopus-financial-group

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Scopus Financial Group