We travel to your Offices and provide unbiased and independent reporting...
... with the Facts and the supporting documentations
that will give your team the facts as to how your offices are
operating within compliance pertaining to the rules and
regulations of the Financial Securities Industry.
Our mission is to provide a complete and independent
examination program that will enhance
Regulatory Compliance your firms memberships within the SEC, NASD, NYSE and other SRO's.
ICI Services...
Targeted to assist firms in the development, maintenance and support
of a sound compliance program. Working together to assure
financial compliance.
Call
for a complimentary consultation. (212)-695-0718.
Investment Compliance, Inc. provides onsite exams
custom designed with your firms structure in the financial services
industry. At ICI
we have a planned program and provide supporting documentation to help assist with your firms growing compliance needs.
Investment Compliance, Inc. operates from its New York
City Office and is based just blocks from the NASDAQ marketsite
in Time Square.
ICI assists
firms requiring regulatory guidance in the ever changing world of
Regulatory Compliance.
· Assess and reinforce your firm’s Supervisory System
· Review and augment your firm’s Written Supervisory Procedures
· Perform a Needs Analysis and develop a Continuing Education Plan
· Conduct OSJ and Branch Office examinations
· Perform Advertising Review and Website monitoring
· Conduct Annual Compliance Meetings and Training Programs
· Perform Trade Surveillance and Reporting Services
· Conduct Special Investigations and Mandated Reviews
ICI provides the Regulatory Compliance
Onsite Audits and Support when and where you
request it and by doing so we can assist your compliance team in finding possible regulatory concerns before they become home
office problems.
