Compliance Services

We solve compliance problems and will work with you to ensure you have established a set of best practices that will help prevent problems. Our consultants have compliance and high level management backgrounds and maintain the proper for profit prospective.

Key Services

Do your firms Written Supervisory Procedures meet the test the NASD used in this recent disciplinary action? "The findings also stated that the firm's supervisory system failed to provide for supervision reasonably designed to achieve compliance with applicable securities laws and regulations. Specifically, the firm's supervisory system did not include written supervisory procedures providing for the identification of the person(s) responsible at the firm to ensure compliance with applicable rules, a statement of the step(s) that such person(s) should take to ensure compliance therewith, a statement as to how often such person(s) should take such step(s), and a statement as to how enforcement of such written supervisory procedures should be documented at the firm." To have your procedures reviewed or updated call or email us.