B/D Compliance Associates, Inc. provides service that exceeds your expectations. We are genuinely interested in your firm’s business model, and take the time and effort to understand your company and its unique compliance consulting needs.
Some of the many services offered by BDCA include, but are not limited to:
- Mock Regulatory Examinations
- Annual Compliance Reviews
- SEC, FINRA and State Registrations
- Compliance Policies and Procedures
- Compliance Training
- Advertising Review
- Regulatory Examinations/Inquiry Support
- Conflicts of Interest Identification and Review
- Books and Records Review
For more information, please call 770-923-9632 or email us at firstname.lastname@example.org.