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.
You’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.
Just 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.