Compliance Consulting Services

We are proud to offer comprehensive and proactive compliance consulting and support.

Our clients have the reassurance of working with compliance experts who stay on top of the rapidly-changing regulatory compliance environment, identifying problem areas before they become actual violations.

We offer the following compliance consulting services to FINRA registered Broker-Dealers and SEC and State Registered Investment Advisors:

Annual Compliance Meeting Presentations

Website, Advertising and Marketing reviews

Independent Risk Assessments

Designing FINRA 3120/3130 Supervisory Control Program

Designing 206(4)-7 Testing Program

Firm Element Continuing Education Needs Analysis

Code of Ethics/204A-1 Review

Policy Document Drafting

Learn how we can help support your compliance functions. Contact us for a complimentary expert consultation.

CONTACT US

Interested in learning more about our compliance consulting services?

Our compliance experts provide reassurance that your company will stay at the forefront of a rapidly changing regulatory environment.

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Arboretum Group, LLC

The Arboretum Group, LLC family of companies is a group of related, independently operated businesses sharing a strong commitment to service, quality and excellence. We are a full-service organization – providing Fund Management, Asset Financing, Servicing and Distribution.

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