We are actively involved in all services offered by CSG, including conducting AML Independent Testing, drafting written supervisory procedures, broker-dealer registrations, on-going compliance assistance, and customer service.
We hold the Series 7, 24, 28, 66, 79 FINRA qualifications and achieved the professional designation of Certified Anti-Money Laundering Specialist (CAMS) from the prestigious Association of Anti-Money Laundering Specialists (ACAMS®).
We conduct comprehensive audits for state and SEC registered investment advisers, investment adviser registrations, ongoing compliance assistance, the drafting of compliance procedures and advertising and marketing creation and reviews.
Compliance Solutions Group, LLC (“CSG”) is a leader in the industry and has a reputation for providing superior dedicated service with proven results. CSG will partner with you to design customized solutions that meet your compliance needs, which can provide your organization with additional benefits such as lower overhead costs and easy access to highly experienced compliance professionals.
CSG consultants hold industry-specific registrations and specialized certifications that demonstrate expertise.
Whether you are a start-up group in need of registration services, an established firm interested in outsourcing some or all compliance functions, or a compliance professional in need of another set of eyes, CSG can help.
The CSG team has extensive experience with SEC, FINRA, and state regulatory requirements applicable to investment managers, funds, and broker-dealers.
CSG tailors each engagement to the unique business needs of our clients.
CSG’ consultants and partners consist of former regulators and compliance professionals who possess extensive compliance and operational experience with SEC, FINRA, and state rules and regulations necessary to address virtually any issue.
Our Clients recognize our high service standards to provide prompt support when the need arises.