As SEC, FINRA, DOL, and state regulators continue to increase their examination and enforcement activities, you may find yourself the subject of a regulatory proceeding. The result? As part of the settlement, firms are required to engage the services of an Independent Compliance Consultant. Formerly known as NRS Compliance Consultants, the COMPLY experts bring decades of experience navigating complex compliance challenges.
Leverage over 12 decades of compliance expertise with COMPLY’s team of Compliance Consultants. As former CCOs, regulators, and lawyers, our team has the insight and regulatory prowess to deliver an Independent Compliance Consultant engagement for SEC, FINRA, or state matters.
If you find yourself in a situation where an ICC might be needed, you or your attorney should contact us to learn about our experience and approach to these engagements.
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Our expert compliance consultants understand the challenges you face. Why? Because they’ve been there. As former CCOs and regulators, they know what to look for and how to empower more effective programs. Ready to achieve compliance with confidence?
Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.
