Compliance Services

A la carte services to reduce your burden.

Compliance in the form of written policies and documented procedures are mandatory for all broker-dealer firms. FINRA has increased its focus on the quality of compliance exhibited by firms keeping in view the increasing number of broker-dealers in the financial market. Regulatory violation needs to be avoided at all costs if you want your business to grow without the authorities stepping in. To accomplish complete transparency and accordance with FINRA’s newest rules and regulations, MAH Advising offers broker-dealer compliance services at cost-effective prices that can protect and promote your firm in the long-run.

The broker-dealer compliance services offered at MAH Advising are holistic and are tailored to meet your specific needs. Our team comprises compliance service experts that have been working in the financial industry for over four decades and have assisted many renowned broker-dealers to establish a firm footing. MAH Advising’s team of consultants is well-learned in the rules and regulations of FINRA and has kept itself abreast with any changes introduced over time. MAH Advising offers compliance service training, production of an all-encompassing compliance manual, registration, and supervision. By choosing us for your broker-dealer compliance services, you will notice exponential growth in your businesses and increased productivity as we will keep troubles from the authorities at bay.

List of compliance services being offered:

For further details on the broker-dealer compliance services available at MAH Advising and pricing, contact us on our phone or email us with your queries.

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.