AC Regulatory Consulting
San Francisco Category: Consultants-Business (Unclassified)
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Company representatives
Email: moc.gnitlusnocyrotalugerca@anairda
Adriana Chong, Principal
About AC Regulatory Consulting
Consulting for the broker-dealer and investment adviser industry.
AC Regulatory Consulting provides expert securities compliance consulting services to the broker-dealer and investment adviser community.
Our mission is to help you improve your compliance program, strengthen your culture of compliance and foster a working partnership with your regulators. We put our extensive regulatory background knowledge, skills and resources to work for either small or large firms to turn good intentions into measurable results.
Our on-call availability gives our clients the confidence that their compliance programs are current and responsive to FINRA and SEC mandates.
We specialize in registration with the SEC, FINRA, states and other SROs; continuing membership applications; compliance audits; AML testing; preparing for regulatory examinations and overall updatin
Products and Services
- Consulting
Employees
1
Years In Business
14
Rating
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