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Overview of Broker-dealer compliance services
If you are a broker-dealer, you would be aware of the challenges that compliance poses to your business and reputation. Inadequate compliance and registration with the SEC could land you in trouble that could otherwise be avoided by hiring MAH Advising for all these needs.
At MAH, we house a team that has years of experience working in the ever-changing financial industry. No changes and updates introduced by the SEC in the rules and regulations go unnoticed by our experts, who work diligently to offer registration and compliance services for brokers-dealers.
Finding solutions for you is our aim
MAH Advising caters to the needs of both new and honed brokers/dealers. If you have just entered the field, you might find deciphering the registration process a daunting task. Based on your firm’s unique needs, MAH Advising offers broker-dealer compliance services that are specifically made to satisfy your requirements. These amenities include tailored membership applications and registration services.
For existing brokers-dealers, staying updated and in complete accordance with the latest compliance laws is essential if regulatory scrutiny is to be avoided. Our consultants work with your firm’s compliance officers to concoct a compliance manual that safeguards your reputation against any unwanted SEC interference. If the need is, we can also assist you by offering to fill in the shoes of your Chief Compliance Officer.
Based on the age of your firm and requirements, you can trust MAH Advising to outsource versatile broker-dealer compliance services. To learn more about what we have to offer, click on the most suited options from the list below:
Choosing to outsource broker-dealer compliance services to MAH Advising has the benefit of being cost-effective and customized to suit your budget. Our quotes can be compared to other advising firms to ensure competitiveness.
Disclaimer: We are consultants, not lawyers, this is not legal advice. We work with the top law firms when the practice of law is required.