What we do:

We've been helping firms to stay in compliance for almost 30 years.

Compliance concept with icons and text.

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:
  • company formations
  • background checks
  • regulatory examinations
  • books and records preparation and review
  • general consulting on a wide variety of compliance matters
  • FINRA, NFA and SEC examinations