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Compliance Support Services is a full-service compliance consulting firm with unparalleled depth of experience and expertise. We have the people and the processes to meet all your securities compliance requirements. Call us. We can help.

 

Compliance RestructuringYou’ve had a regulatory audit and things didn’t go so well. You’ve been required to appoint a consultant to review your systems, develop a plan with recommendations for remediation, help you implement the plan and report to the regulator as issues are resolved.learnmore

Turnkey ComplianceJust starting a firm and looking to have a compliance structure built? That’s what we do. And we do it efficiently and effectively, tailored to your category of registration and what we know to be current regulatory expectations.learnmore
Self AssessmentRegulators expect that as part of every firm’s compliance infrastructure, a self-assessment will be carried out regularly to evaluate the effectiveness of existing processes in ensuring ongoing compliance with securities and other laws.learnmore