Securities Compliance Management

admin — Wed, 08 Dec 2010 12:43:56 +0000

Expert Consulting

admin — Tue, 14 Sep 2010 15:25:46 +0000

In this ever-changing regulatory environment, it is crucial to stay up to date on the latest compliance requirements. Is falling behind in the compliance world worth the price of noncompliance at your firm? Learn more about our consulting programs.

New Broker/Dealer or Investment Adviser

admin — Tue, 14 Sep 2010 15:25:13 +0000

Are you currently a registered rep or branch office considering going independent, looking to establish your own independent new firm, or acquire an existing firm? Find out more on how our services can help you reach your goals.

FINOP Services

admin — Tue, 14 Sep 2010 15:23:59 +0000

Securities Compliance Management will assume any of the duties traditionally performed by the Financial and Operations Principal (“FINOP”), from oversight of the financial books and records of the firm to filing the FOCUS Report.

Audit Services

admin — Tue, 14 Sep 2010 15:19:46 +0000

A mock SEC or FINRA audit will prepare your firm for all SEC compliance issues and help you avoid the wrath of the hard nosed regulatory bodies. Learn more about our mock audits, branch audit program, and Anti-Money Laundering Independent Audits.