Broker Compliance Procedures
Any broker interested in submitting a case to Q Capital must complete a compliance review process. This process is comprised of the following steps:
- Q Capital sends the broker a Broker Application, or email us at email@example.com to request an application via email.
- Return the application to Q Capital via email to firstname.lastname@example.org or fax at (212) 980-6654. It is important that the application is returned with copies of all licenses in order to expedite the approval process.
- Q Capital's legal department reviews the application and verifies the information provided.
- Q Capital will contact the broker with any questions that arise.
- The Company's legal department approves the Broker Application and adds the broker into our system, enabling Q Capital to start processing cases from the broker.
Q Capital keeps copies of all of the information submitted with the Broker Application. In order to keep broker compliance updated, the Company requests that brokers submit any additional licenses or updated information as it becomes available, including license renewals. Q Capital's legal department contacts all of the brokers at least once a year to ensure that the most updated information is in our files. This process allows the Company to avoid any delays that could come up when closing a case with the broker.