Compliance Support Tailored to Your
Regulators have stepped up their scrutiny of broker-dealer and investment adviser firms. Avoiding regulatory findings and potential fines or enforcement action requires proactive attention to industry rules and regulations.
The Regulatory Compliance PartnerProgram provides multiple levels of compliance support to help broker-dealer and investment adviser firms fulfill their compliance obligations. Whether you want assistance with just compliance manuals and meeting filing deadlines or need comprehensive compliance support so you can devote your full attention to expanding your business, the PartnerProgram offers customized compliance support to meet your specific needs.
Trusted, Knowledgeable, Experienced Compliance Experts
The PartnerProgram has been designed by compliance professionals who were chief compliance officers, in-house counsel, compliance managers, and FINRA or SEC examiners. They are experts in compliance and can help your firm safely navigate through the complex world of regulatory compliance.
Having a reliable partner in Regulatory Compliance can provide the peace of mind you need to focus on business—instead of compliance.