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.

The Onsite Exams

- Planned Onsite Examinations
- Heightened  Supervision
- Annual Compliance Meetings
- Annual required Cycle Exams
- Internal Cause Exams
- Branch Office Setups
- Compliance Tailored to Your Needs Programs

Independent Exams
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.

 

 

<