Description
Regulatory Compliance, LLC provides securities compliance consulting services to broker-dealers and investment advisers in the United States of America. It offers compliance services, including FINRA and state registrations, SEC and state registrations, accounting, continuing education courses, compliance examinations, anti-money laundering (AML) examinations, and firm element and AML online training; and compliance manuals. The company also provides JOBS Act consulting, Form PF consulting, NFA compliance, and Financial and Operations Principal compliance services; insurance, securities licensing, CFP, and CPA continuing education; compliance support; and registration and compliance programs for private equity, hedge fund, private real estate, and liquidity fund managers. It serves private placement firms, M&A firms, general securities firms, third party marketers, hedge funds, banks and credit unions, and venture capital funds. Regulatory Compliance, LLC has strategic alliances with Dynamic Wealth Advisors, EVS, and Smarsh. The company was formerly known as Broker Dealer Compliance, LLC. Regulatory Compliance, LLC was founded in 1989 and is based in Londonderry, New Hampshire.
Corporate Address
12 Parmenter Road Londonderry, NH03053 United States of America
United States of America
603-434-3594
Tags:
Credit Bank, Banking Consulting, Private Banking, Banking and Securities Services, Bank Capital, Equity Bank, Bank Management, Investment Banking Services, Banking Insurance, Banking Financial Services