REGULATORY COMPLIANCE
WE VIEW COMPLIANCE AS AN OPPORTUNITY TO HELP MAKE YOUR BUSINESS MORE EFFICIENT, ACCOUNTABLE, AND PROFITABLE.
EXPERTISE AND HANDS ON ASSISTANCE WHERE YOU NEED IT MOST
RISC CONSULTANTS UNDERSTAND THAT THE CONSTANTLY EVOLVING AND CHALLENGING REGULATORY EXPECTATIONS FOR BOTH FINRA REGISTERED BROKER DEALERS (BDS) AS WELL AS SEC AND STATE REGISTERED INVESTMENT ADVISORS (RIAS) CAN SEEM OVERWHELMING. WE BRING DECADES OF EXPERIENCE AND SOLUTIONS TO PROVIDE THE HANDS ON ASSISTANCE THAT YOU NEED. WE PROVIDE HIGHLY QUALIFIED AND EXPERIENCED ASSISTANCE AND SUPPORT TO YOUR CHIEF COMPLIANCE OFFICER AS WELL AS FIRM, IN ANY AND ALL COMPLIANCE ISSUES AS NEEDED. OUR LIST OF SERVICES ARE EXTENSIVE, AS WE OFFER EVERYTHING FROM FIRM REGISTRATION AND SET-UP, TO OVERSIGHT AND REVIEWS, AS WELL AS ASSISTANCE WITH THE DAY-TO-DAY.
SERVICES