Since 1992, Framing Compliance as Enterprise Risk
We've been assisting financial services industry clients with regulatory compliance for almost three decades, helping them to avoid trouble and to get out of it when problems arise.
Our proposition is simple: We would like to help your broker-dealer or asset management business grow by helping it to navigate through the ever-expanding thickets of regulatory risk. We have decades of consulting experience to offer, ranging from compliance to general enterprise risk management to outsourced CCO services.
Let us know how we can be of service. Whether you are seeking to register your new firm with regulators or are an established business, or whether you are a broker-dealer, hedge fund, investment manager, or private equity fund, we can help you address all of your regulatory and enterprise risk needs.
Our founder, Dr. David E. McClean, is a Fellow with the International Compliance Association, and has published many articles and books and given lectures on business ethics, enterprise risk management, and regulatory compliance. He teaches business and professional ethics at Rutgers University.
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