Skip to content

Compliance is a crucial element for broker-dealers and investment advisers. Failure to comply with applicable state and federal securities laws, and FINRA and SEC regulatory requirements could subject you to disciplinary actions. Depending on the severity of the violation, you could be fined, suspended, or even banned from the industry. Since rules and regulatory requirements are constantly changing, it can be difficult to stay in compliance.

Fortunately, Quadrant Regulatory Group can help. We offer a comprehensive range of compliance and financial services. In addition to offering accounting services, compliance reviews and assessments, we can provide up-to-date guidance on changes in rules and regulations, as well as ongoing training.

At Quadrant Regulatory Group we ensure that your compliance program stays ahead of changes and we provide you with the tools you need to help manage compliance risks.

Protecting Your Firm and Your Clients with Compliance Services

Broker-dealers and Investment Advisers need to look out for the health of their firms and the financial welfare of their clients. In a perfect world, these interests would always align. However, rules and regulations can create apparent conflicts between these two interests. By focusing on streamlining the compliance process, Quadrant Regulatory Group can help your firm reduce costs and avoid non-compliance or other legal issues, protecting your firm’s reputation and your clients’ interests.

Some compliance consultants take a one-size-fits-all approach to regulation. However, one size never fits all. We will custom-tailor a solution for your needs based on your firm’s goals, size, and stage in its lifecycle. The result is a solution that is specific to your business that does not ignore any critical components of compliance. Solutions can include:

  • Accounting Support
  • Policy and Procedure Development
  • Compliance Program Development
  • Risk Assessments and Testing
  • Compliance Monitoring
  • Regulatory Exam Preparation

Keep Your Firm Up to Date with the Latest Developments

Your firm is required to comply with rules and regulations to ensure that you are not violating any laws. However, broker-dealers and investment advisers are not in the compliance business. Focusing efforts on compliance detracts from your ability to service your clients. At Quadrant Regulatory Group, our job is compliance. By working with us, you let the compliance experts guide and handle compliance and keep up with regulatory changes so you can focus on providing top-tier financial services for your clients.

Contact us for more information or to schedule a consultation.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

Back To Top