Compliance Consulting Services

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.

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The Arboretum difference is the client experience.

A client-focused way of doing business.

The only definition that matters is your definition of client satisfaction.