Compliance Solutions Group can assist you with all of your compliance needs. CSG has the expertise and experience needed to keep this extremely complex process organized and efficient for you.
CSG can handle as little or as much of this process as you need. Such services provided by CSG include (but not limited to):
- SEC registration (including the completion and submission of Form MA and MA-I.
- Customized written supervisory procedures and policies.
- Chief Compliance Officer / Compliance Officer.
- Compliance training and education.
- SEC / FINRA Examination support (on-site and/or off-site)
- On-going reviews and updating of compliance policies, procedures and documents.