We are proud to offer comprehensive and proactive compliance consulting and support. Our clients have the reassurance of working with compliance experts who stay on top of the rapidly-changing regulatory compliance environment, identifying problem areas before they become actual violations.

We offer the following compliance consulting services to FINRA registered Broker-Dealers and SEC and State Registered Investment Advisors:

► Annual Compliance Meeting Presentations

► Website, Advertising and Marketing reviews

► Independent Risk Assessments

► Designing FINRA 3120/3130 Supervisory Control Program

► Designing 206(4)-7 Testing Program

► Firm Element Continuing Education Needs Analysis

► Code of Ethics/204A-1 Review

► Policy Document Drafting

Learn how we can help support your compliance functions. Contact us for a complimentary expert consultation.