If you own or operate a New York broker-dealer or registered investment advisor business, then you could be in need of the best SEC compliance consulting in NY. So, you might be asking right about now how you can find the best firm in this area of expertise. First, you need to know what to look for, so here are some tips to help you do just that.
What To Look For in SEC Compliance Consulting in NY
- You want compliance consultants that provide broker-dealers and registered investment advisors with services that support compliance with SEC, FINRA, MSRB, NFA, and state securities laws.
- You also want compliance consultants who deliver compliance support, expert guidance, and ongoing assistance during regulatory examinations, testing, FINOP, as well as financial and accounting services.
- In addition, you want compliance consultants whose mission is to provide effective, efficient, and expert regulatory guidance to their clients to allow them to concentrate on their business.
- You also want a company that has a dedicated team of Certified Anti-Money Laundering Specialists who will perform independent tests of your organization’s anti-money laundering compliance programs.
- And you want a company that can provide annual testing, CRD administration, regulatory examination management, special projects supervision, and written supervisory procedures.
Contact The Best NY SEC Compliance Consulting
Does the above information seem to be along the lines of what you’ve been searching for? If it does, then you should contact Quadrant Regulatory Group today their website for more SEC compliance information.
