Independent Broker Dealer Consortium

HOTLINE SUPPORT

As a member of IBDC, you are entitled to complimentary legal, compliance, regulatory, insurance and cyber security Hotline Services.

FAQs

How do I access the Hotline Services?

Click on the Hotline Button, which will create an email that will be sent directly to Hotline@IBDCconsulting.com. Next, in the “Subject” line, type in the type of Hotline consultation you are requesting: legal, compliance, insurance, regulatory or cyber security. In the body of the email type the question that you would like a Hotline Consultant to respond to.

What would qualify as a Hotline Inquiry?

Any question that will take no longer than 30 minutes to formulate a response to. With respect to questions of a legal nature, please limit you inquiry to a request for an answer to a legal question versus a request for a legal opinion. The attorneys who support the legal Hotline have the right to decline to respond to a question seeking a legal opinion.

Who are the Hotline Consultants?

The Hotline Consultants are listed under the Hotline Consultants’ Tab.

Can I request that a specific Hotline Consultant respond to my inquiry or may I contact one of the Hotline Consultants directly?

In your email requesting Hotline Services, you may request that a specific Hotline Consultant respond to your inquiry. All requests for Hotline Services must be made using the Hotline@IBDCconsulting.com email.

What if I want to retain the professional services of the Hotline Consultant?

The retention of a Hotline Consultant is negotiated directly with the Hotline Consultant.

Who from the Broker Dealer or Registered Investment Advisor may request Hotline Services?

Hotline Services may only be requested from the individual in your Broker Dealer or Registered Investment Advisor who is registered as the Primary Contact on the IBDC membership form.

How soon after I submit the Hotline Service Request may I expect a response?

The Hotline Consultants will endeavor to have a response within 48 hours if your request was made Monday through Thursday. If the Hotline Service request was made on a Friday, Saturday, Sunday or on a holiday, the Hotline Consultants will endeavor to have a response within 48 hours of the next working day.

Is there a limit to the number of times that my firm may utilize the Hotline Service?

There is no limitation as to the number of Hotline Inquiries a firm may make. The limitation is to the scope of the Hotline inquiry. It is at the discretion of the Hotline Consultant to decline to respond to a Hotline inquiry if the response will take longer than 30 minutes to formulate or if the inquirer is seeking a legal opinion. However, if such a situation arises, the Hotline Consultant will communicate the declination to offer Hotline Services to the firm and may offer to provide professional services for a fee negotiated between the firm and the Hotline Consultant.

Does IBDC or RIAC provide any professional legal, compliance, insurance, regulatory or cyber security services, whether Hotline or for a fee?

No, neither IBDC nor RIAC provides any professional legal, compliance, regulatory, insurance or cyber security services. Lilian Morvay is, however, available to provide insurance consulting services and is available as an expert witness, through Bates Group, in matters involving professional liability insurance issues.

Once a Hotline Service is requested, will IBDC report the inquiry to any insurance carriers, state or federal regulatory agencies or any legal authorities?

No, all Hotline Inquiries are held confidential and there will be no reporting made to any insurance carriers, state or federal regulatory agencies or any legal authorities.

HOTLINE CONSULTANTS

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HOTLINE SUPPORT FORM

The email form will automatically populate the Hotline Email address for Hotline@IBDCconsultiong.com.




    Hotline Service Request – Please indicate whether legal, compliance, cyber security, regulatory or insurance.



    * Required Field.

    Note: The IBDC is not a law firm, does not provide legal services nor renders legal advice. The IBDC is not a compliance, regulatory or cyber security consultant. The IBDC does not make referrals and is not responsible for the professional services rendered by the professionals who are listed in the IBDC network. No network participant is responsible for the professional services rendered by other network participants.

    IBDC does not refer clients to any network participant. The list of network participants is not to be construed as an endorsement or recommendation of that network participant.

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