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When broker-dealers need compliance solutions in Texas, Quadrant Regulatory Group is the natural choice. With our comprehensive approach to compliance, you can trust us to help you with any issues you have regarding FINRA rules, SEC regulations, federal security laws, and state securities laws. Compliance is critical for broker-dealers. We help you avoid issues by helping people with registration requirements, helping establish compliance protocols to ensure you are up to date with compliance requirements, and assisting with compliance reviews and assessments. Training is an essential component of our services. We offer training and education on compliance matters, which includes updates on regulatory changes. We give you the tools to ensure that you stay in compliance.

The regulatory landscape can be challenging to navigate because it is both complex and ever-changing. Our experts stay up-to-date on all regulatory changes so we can advise our clients and ensure compliance. Not every change impacts every client, so the professionals at Quadrant Regulatory Group will tailor solutions for your business. The goal is to put you ahead of regulatory changes so that you do not constantly play catch-up.

In addition to helping people with regulatory filings and compliance examinations, Quadrant Regulatory Group can help you with enforcement actions. Professional guidance for enforcement actions can help broker-dealers avoid punishments for non-compliance and bring any non-compliant areas into compliance.

Broker-Dealer Compliance Services

When it comes to broker-dealer compliance, state and federal rules are very exacting. Financial advisers and broker-dealers must comply with all applicable rules as well as Texas oversight organizations that will enforce regulations. Quadrant Regulatory Group can help your business incorporate a compliance program that will help you avoid legal issues or penalties for non-compliance.

Quadrant Regulatory Group can also help your firm save money. When you are in compliance, you avoid expenses related to legal issues. The financial savings can be substantial. We help Texas firms deal with the constantly changing landscape, keeping your firm ahead of changing risks.

We offer a personalized solution for your business, which helps your business and your clients. We take an approach that looks at your specific needs and tailors the specific response to meet those needs, anticipate industry trends, and set you up for success with changing regulatory issues. While we handle your compliance issues, you can focus on your business. We give you the support you need, whether developing compliance programs, preparing for regulatory exams, remedying compliance deficiencies, handling audits, or other oversight activities.

What We Offer

Quadrant Regulatory Group provides the following services:

  • Accounting Support
  • CCO
  • Risk Assessments
  • AMLTesting
  • Development of Policies and Procedures
  • Preparation for Regulatory Exam
  • Compliance Monitoring

We can help businesses at any stage in the business cycle. Whether you need help establishing a compliance program or monitoring that program, we can help. Our goal is to go beyond keeping you current on regulations—we also focus on learning about upcoming changes to help you implement those systems smoothly, setting you up for success. As a full-serve, comprehensive financial services regulation and compliance firm, Quadrant Regulatory Group can help meet all your needs. Contact us for more information.

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.

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