FOR GREATER PEACE OF MIND ...
Taurus
Compliance Consulting,
LLC specializes in
providing a full range
of regulatory
compliance and advisory
services for
broker-dealer firms as
well as privately held
and public companies.
Whether it is a mock FINRA exam, a SOX audit or IT consulting, Taurus Compliance Consulting, LLC has the necessary resources to bring your firm into compliance.
The Taurus consulting team is comprised of exceptional professionals who possess unquestionable integrity as well as more than 100 cumulative years of experience in the financial markets that include securities industry regulation, brokerage operations, legal, management, accounting, and human resources.
Our services are tailored to your specific needs and, whether you are a one-person retail broker-dealer or a full-scale multi-registered representative broker-dealer, Taurus can meet all your needs for success in today’s increasingly challenging business and regulatory compliance environments. Read more >>
Exceptional Approach
Securities compliance is the backbone of any broker-dealer. Securities firms must strive to maintain the highest compliance principles in order to protect their customers and their business. Read more >>
Fresh Solutions
Taurus possesses a knowledge base that far surpasses the industry competition, facilitating the implementation of ‘Fresh Solutions’ with every compliance partner. Read more >>
The experience you require, the expertise you need
Call us on 1-800-385-2480.
Outsourcing to a Securities Compliance Consultant is a tried-and-tested model. Read more >>
At Taurus, we can offer you a team of highly-trained and dedicated professionals. Read more >>
Financial organizations are required to adhere to strict compliance guidelines. Read more >>
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