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.