Broker-Dealer Compliance Consulting

Quadrant Regulatory Group provides Broker-Dealers and Registered Investment Advisers with services that support compliance with SEC, FINRA, MSRB, NFA, SRO, and state securities laws.

Quadrant compliance consultants deliver expert guidance, ongoing assistance during regulatory examinations, compliance support, testing, and financial and accounting services. Quadrant has a dedicated team of Certified Anti-Money Laundering Specialists that perform independent tests of firms’ anti-money laundering compliance programs.

Our mission is to provide effective, efficient, and expert regulatory guidance to our clients in order to allow them to concentrate on their business.

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