Regulatory Compliance, LLC offers specialized products and services to the licensed investment advisors and securities broker dealers in the United States. The headquarters of Regulatory Compliance, LLC are located in New Hampshire.
About Regulatory Compliance, LLC
Regulatory Compliance, LLC is a specialized provider of products and services to the certified investment advisors and securities broker dealers based in the United States. The company is headquartered in Londonderry, New Hampshire. The company has another office in New York.
Regulatory Compliance, LLC was incorporated in the year 1989.
The principal objective of Regulatory Compliance, LLC is to offer high quality solutions to satisfy the developing regulatory compliance requirements of the customers.
The company is known all over the United States. The employees of Regulatory Compliance, LLC are highly qualified and include Certified Public Accountants (CPAs) and Investment Advisors.
At present, the President of Regulatory Compliance, LLC is Steve Sussman.
Products and Services of Regulatory Compliance, LLC
The products and services of Regulatory Compliance, LLC can be categorized into the following types:
Broker Dealer Services
Accounting & Financial Operation Services
Broker Dealer Registration
FINRA (NASD) Rule 1017 Application & Registration
Mock FINRA Test or Examination:
AML Independent Testing
Non-branch and branch office examinations
Office establishment visits
Investment Advisor Services
Investment Advisor Registration
Yearly Renewal of the Form ADV
Completion or reassessment of Form ADV
Mock Complifance Examination
Documented Supervisory Function Manual Template (accessible in a tailor-made version also)
Web CRD/IARD Services
State Registration Applications
Documented Supervisory Function Manual yearly updates
General Compliance Consultation
Furthermore, Regulatory Compliance, LLC also offers a number of educational services for the broker dealers, which offer information on the following areas:
Anti-Money Laundering Basics
Principles for the Securities Professional
Management of Branch Office
Mutual Fund Appropriateness
Normal Oversight for Small Brokerage Offices
Section 529 Plans
Rules of Electronic Communications
Appropriateness for Annuities
Direct Brokerage, Soft Dollars and Personal Trading
Appropriateness for the Institutional Market
Regulatory Compliance, LLC
12 Parmenter Road
Londonderry, NH 03053
Tel: (603) 434-3594
Fax: (603) 437-3676
New York Office:
304 Park Avenue South
New York, NY 10010
Last Updated on : 1st August 2013