Customized Compliance Solutions – Since 1989

Compliance Advisers has been offering Customized Compliance Solutions™ to the securities industry since 1989. We are proud of our past successes, and will continue to strive for the same success into the future.

Compliance Advisers has highly qualified professional consultants available who can assist your organization in meeting the demanding and sometimes overwhelming regulatory requirements of the financial services industry – from ongoing expert advice and assistance to interim compliance staffing needs.

Our customized solutions include—

  • Comprehensive New Broker Dealer Registration Packages
  • Comprehensive Investment Adviser Registration Packages
  • Investment Adviser (Rule 206(4)-7) & Investment Company (Rule 38a-1) Annual Reviews
  • Financial & Accounting Services – Financial Principal, FOCUS Reporting, Annual Audit Assistance
  • Written Supervisory Procedures & Compliance Manuals, Gap Analyses
  • Forensic Tesing, Internal Controls Testing, Mock Audits
  • FINRA (NASD) Rule 1017 Continuing Membership Applications
  • Annual Compliance Requirements Reminders
  • Annual Compliance Meetings Development and Administration
  • Continuing Education Programs Development
  • AML Compliance Programs, Training & Independent Testing
  • General Compliance Consulting

When we began as a small one-person firm, integrity and trust were the keys to our future success. We were right. Today we still believe in these values, and practice them on every project. These beliefs have made our firm an industry leader in providing customized compliance solutions for our customers. We service small to medium sized clients throughout the United States and only highly qualified consultants serve them. At Compliance Advisers, our consultants are committed to providing clients with only the best customized compliance solutions in the industry.

Click here to inquire,  call us today at (303) 795-0400 or Request a Customized Quote for a service specifically for your business needs and budget. Or you may request information by email info@complianceadvisers.com.

 

Member Association of Certified Fraud Examiners



Compliance Advisers Inc -- Customized Compliance Solutions