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.