We provide expert consulting and services that allow existing broker/dealers to outsource all or part of their compliance function, including but not limited to:
We will give you an appraisal of what the current regulatory requirements are since they are constantly changing as well as what the current areas of focus are for the regulatory bodies. We will make recommendations as to what should be improved and provide risk analysis as well as assurance that the existing processes are effective, implemented correctly, and are functioning correctly.