| |
| "
Certainly, the test for all firms is whether they maintain and each day, reinforce, a culture of compliance — which includes a culture of doing not only what is within the strict parameters of the law, but also what is right — whether or not a regulator or anyone else is looking. " |
Quote by
Lori Richards,
Director -
SEC,
4/23/2003 |
|
|
HOME
|
Welcome to Compliance Support Services LLC, a consultancy for small to mid-sized broker dealers. Today's ever-changing regulatory environment demands that you have a clear, concise compliance program in place-- whether your broker dealer is a long-established firm or new to regulatory requirements.
Compliance Support Services provides solutions and tools to build, organize and maintain the components of an effective compliance program in a knowledgeable, reasonable and dependable manner.
We can help you navigate the complex compliance roadmap so you can spend more time focused on your core business activities. Extensive experience in and considerable knowledge of the compliance requirements for broker dealers enables us to deliver the innovative ideas and reliable advice you need. Look to Compliance Support Services to help you interpret new regulations, minimize risk, and capitalize on the investment in your business.
 If your challenge is "too many hats and not enough time", or you just need assistance navigating the compliance roadmap, you can count on Compliance Support Services for the knowledge and experience to give your compliance program the edge it needs.
Services are offered on an hourly as needed or monthly retainer basis. Complete the Contact form for more information today.
|
|