FOR GREATER PEACE OF MIND ...
Taurus Compliance Consultants, LLC specializes in providing a full range of regulatory guidance for broker/dealer firms offering securities products.
The Taurus consulting team is comprised of exceptional professionals who possess unparalleled integrity as well as more than 100 cumulative years of experience in the financial markets that include securities industry regulations, 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 Compliance Consultants can meet all your needs for success in today’s increasingly challenging business and regulatory environments.
The recent revelations that have occurred in the investment community will, most assuredly, incite the SEC and FINRA to hone in on the accounting and compliance practices of its member firms.
- How confident are you in the state of your broker/dealer firm’s compliance policies and your firm’s adherence to SEC and FINRA regulations?
- Are your broker/dealer firm’s AML/BSA procedures in compliance with all SEC statutes and FINRA rules and regulations?
- Can your firm’s accounting practices pass scrutiny and are they compliant with the most current SEC and FINRA rules and regulations?
- How assured are you that your personnel records follow the strict rules and regulations imposed by the SEC and FINRA?
Our unique insight into the regulatory environment and comprehensive knowledge of the complex intricacies of the financial market assures you of complete compliance within the increasingly challenging business and regulatory environments.
The experience you require, the expertise you need
Call us on 1-800-388-8822.
Why Outsource Compliance
Outsourcing to a Securities Compliance Consultant is a tried-and-tested model, recognized as a long-term competitive strategy for a broker-dealer's success. Read more ...
Why Compliance Matters
Financial organizations are required to adhere to strict compliance guidelines to remain operational and to avoid potential litigation. Read more ...
Why Taurus Compliance?
Taurus offers a team of trained, industry professionals who are dedicated to providing the highest quality compliance consulting services in the marketplace. Read more ...
