Description
Strategic Compliance Solutions, LLC., a consulting company, offers regulatory compliance, operations, and accounting services for NFA, CFTC, SEC, and FINRA registered firms, as well as unregistered investment advisors. It provides audit and review services, such as regulatory compliance, anti-money laundering, specific operational or compliance issue troubleshooting, annual compliance reviews, valuation, and execution, as well as due diligence assistance for investors; and develops policies and procedures, including compliance manual, written supervisory procedures, anti-money OFAC, customer identification, code of ethics, compliance calendar, and business continuity/disaster recovery manual. The company also provides training services, such as general compliance, and training for compliance officers; ongoing support services, including update policies and procedures, regulatory filings, email monitoring, personal trading reviews, and compliance information resource; and broker dealer services, such as registration, focus reporting, financial and operational principal, bookkeeping, financial statement preparation, and preparation of monthly net capital. It serves clients and firms in the alternative investment community, including commodity trading and registered investment advisors, hedge funds, introducing brokers, compliance consultants, broker dealers, commodity pool operators, funds-of-funds, exchanges, pension fund consultants, and family offices. Strategic Compliance Solutions was founded in 2003 and is based in Essex, Connecticut.
Corporate Address
18 Mallard Point Road Essex, CT06426 United States of America
United States of America
860-767-3006
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