Outsourced Regulatory Compliance Consulting since 1984 to Broker Dealers, Registered Investment Advisers, FCM, Banks and Insurance agencies.
Served over 320 firms. From being the firms CCO, Finop, registered principal and intermediary between firm and regulators.Professionally qualified by AICPA, PCAOB with licenses as S24,27,7,3,63,4,55,79 and 53.
Very effective in dealing with regulatory findings, wells letter, OTR and handling current investigations.
Litigation support expertise, IT and SAS70, PCAOB exams on custody and certified audits. Staff of 13 functionally organized including ex regulator, law professionals, CRD/IARD, Corporate and Tax specialist. Vertically integrated.
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