Compliance Consulting
Securities Regulator
Online Services
Compliance CD's
Registration Assistance
Anti-Money Laundering
Supervisory Procedures
SRO Inquiries & Actions
Supervisory Procedures
Systems Development
Regulatory Research
Expert Testimony
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InvestmentCare Consulting Group is a full-service securities
compliance-consulting firm providing direct support to broker/dealers.
As former NASD regulators, we understand that not all broker/dealers are alike so we will
tailor our compliance consulting services to best fit your specific
needs. For more information regarding our securities compliance
services, please contact us at 818-386-6900 or click
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In addition to our full-service securities compliance consulting services, we also offer the Securities Regulator. The Securities Regulator provides a unified view of your critical compliance activities by automating, tracking and monitoring registration, firm element & continuing education, audits, outside business activities, form approvals and processing, advertising compliance and more.
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Reduce risk and exposure from non-compliance
Increase the accuracy and security of compliance data
Lower administrative costs |
With state-of-the-art Web technology, there is no software to install; so your organization can be up and running today and managed securely from almost any web browser on any computer. Take the Web
Tour to see the benefits and features of Securities Regulator for yourself. Or, experience them live by signing up for a FREE
30 day trial.
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InvestmentCare Consulting Group has developed the Compliance
Assistant CD which inlcudes Written Supervisory Procedure templates,
main office and branch office audit templates, regulatory forms
and disclosure documents, customer complaint investigation procedures,
state registration information and much more. Contact us at
(818) 386-6900 for more information about the Compliance Assistant
CD. |
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