iComply Consulting

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 t...

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 services. iComply performs independent tests of firms' anti-money laundering compliance programs and internal supervisory controls. iComply brings over 25 years of experience within the securities and exchange and financial services industries. This includes 17 years in regulation and over 20 concurrent years in financial services. iComply knows what regulators are looking for while bridging the compliance needs of Broker-Dealers and Registered Investment Advisers and delivering effective results that matter.