What we do:
We've been helping firms to stay in compliance for almost 30 years.
Outsourced CCO Services
We are ready to discuss with you the possibility of outsourcing this requirement to us, whereby we serve as your external Chief Compliance Officer.
This may be a reasonable and cost-effective alternative for smaller organizations who are not prepared to pay the high levels of compensation demanded in today's market for such professionals.
Outsourcing is the way that many investment advisers and broker-dealers solve their obligations to employ experienced CCOs.
General Compliance Consulting Services
We also assist firms with their compliance programs, whether or not we serve in this capacity.
We prepare and update:
firm compliance manuals
codes of ethics
and operational procedures documents
We assist with:
books and records preparation and review
general consulting on a wide variety of compliance matters
FINRA, NFA and SEC examinations