About
iComply Consulting provides expert regulatory compliance assistance to broker-dealers and registered investment advisers.
iComply Consulting offers targeted business solutions by effectively identifying areas of risk and offering comprehensive ways to strengthen and more efficiently manage systematic compliance programs to Broker-Dealers and Registered Investment Advisers. The services provided support compliance with SEC, FINRA, MSRB, NFA, SRO and state securities laws. iComply delivers results that matter through ongoing support, assistance during regulatory examinations, testing, and financial and accounting ...
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Services
Training
Supervisory Controls Testing
Anti-Money Laundering Testing
Annual Review
Branch Inspection
Firm Element Continuing Education
Annual Compliance Meeting
Cybersecurity Controls Preparation
Ongoing Compliance Support
Disclosures and Attestations
Policies and Procedures Updates
New Membership Application Preparation
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Contact
Current Hours
- Sun CLOSED
- Mon 8:00 AM - 5:00 PM
- Tue 8:00 AM - 5:00 PM
- Wed 8:00 AM - 5:00 PM
- Thu 8:00 AM - 5:00 PM
- Fri 8:00 AM - 5:00 PM
- Sat CLOSED
-
Wed 8:00 AM - 5:00 PMOPEN NOW
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Detailed Information
- Location TypeSingle Location
- Opening Date2017
- Annual Revenue Estimateunknown
- SIC Code show
- Employeesunknown
- Contactsshow
- Managing Director Iris Hoskins