Compliance & Capital Consultants LLC specializes in compliance consulting to the financial services industry and will assist your compliance department in implementing an efficient and effective compliance program. Compliance & Capital Consultants LLC offers a variety of consulting services to meet the compliance needs of your broker-dealer or registered investment adviser.
Compliance officers of can get overwhelmed at times with the ever changing regulatory requirements. Whether compliance officers require a tailored service, such as email reviews, or ongoing consulting assistance, Compliance & Capital Consultants LLC can provide support for them and help compliance officers to design and implement compliance programs to adhere to industry rules. Our services are provided based on the specific needs of each client.
If you are ready to start your own broker-dealer or registered investment adviser then Compliance & Capital Consultants LLC has the experience and expertise you need.
Compliance & Capital Consultants LLC provides assistance with initiating the application through the final decision. We are able to author your business plan, written procedures and responses to regulators. You can depend on us to keep your application on track to obtain a timely approval to commence conducting business.
A Financial and Operations Principal (“FinOp”) is an important role required for all broker-dealers. Compliance & Capital Consultants LLC will serve as a part-time offsite FinOp for your firm, or assist your own FinOp, in keeping financial books and records accurate and up-to-date, preparing and filing financial regulatory reports and assisting with the annual audit.
Compliance & Capital Consultants LLC
SUMMARY OF SERVICES
FINRA New Member Application
FINRA Continuing Member Application
SEC and State Investment Adviser Registration
Compliance Solutions -
Registration - Firm and Individual
Supervisory and Annual Reviews
Part-time FinOp Services
Mock Regulatory Exams
Branch Office Inspections
Communications with the Public Reviews
Firm Element Continuing Education
Regulatory Exam Response Assistance
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