Transparency in Compliance and Regulatory Consulting
What We do
Broker Dealer Services
We specialize in providing Ongoing Compliance and Regulatory Services to Broker Dealers in all phases. From newly forming a BD or looking to buy a BD we will assist you in those areas that are important and help manage your expectations.
We also provide ongoing consulting on an annual contract or per project. Our fee schedule is extremely competitive and our service goes beyond every other firm out there.
Registered Investment Advisor
State registered or SEC registered, we offer a series of services that range from compliance consulting to full outsource compliance. We bring your RIA into the fold of our services to ensure that you can focus on what is important to you. Your clients.
Hedge Funds continue to be under scrutiny by regulators. Our specialist are experienced compliance consultants to hedge funds with a wide breadth of services we can offer