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	Compliance Q&A Supervisory Procedures Audit Reviews FINOP Corner Supervisors/Compliance Officers Trader's Desk Membership Application Services Back to Broker Dealer

Compliance Q&A

Having your basic compliance questions answered can be an enormous task. You can literally waste valuable time trying to reach the "right" person who can answer your question.

Every online client will receive free monthly consultative Q&A and compliance research services. The InvestmentCare Consulting Group compliance Q&A section will provide you with quick and precise research and assistance for the following:

Compliance questions and issues that arise during the course of business

Specific compliance questions

Updates on new and amended rules

Monthly, quarterly and annual filing deadlines

Advertising and sales literature

Review and analysis of customer complaints

Review and analysis of regulatory inquiries

Research of rules relating to specific products/services

We provide our Advantage members with one-half (1/2) hour per month of general-specific consultative Q&A and compliance research services, Premium members with one (1) hour per month, and two (2) hours per month for our Charter members.

Utilizing our compliance consulting Q&A program can save you time and help prevent you from making costly mistakes. For more information regarding our online consulting services, please contact us at 818-386-6900.