Whatever your specific compliance needs, we can create a customized solution to meet your individual requirements.
Custom Services include:
- Consulting engagements
- Rule 206(4)-7 annual compliance review
- Mock audit
- Regulatory exam prep
- Regulatory exam management
- Regulatory deficiency response and remediation
- Marketing material review
- Disclosure document review
- Risk identification & assessment
- Compliance program remediation
- Compliance training
- Chief compliance officer training