ABOUT US

GREATER PEACE OF MIND

Taurus Compliance Consulting, LLC specializes in providing a full range of regulatory compliance, AML Audit and advisory services for broker-dealer firms as well as privately held and public companies.

Whether it is a mock FINRA exam, AML Audit or a mock SEC audit, Taurus Compliance Consulting, LLC has the necessary resources to bring your firm into compliance.

The Taurus Compliance Consulting consulting team is comprised of a network exceptional professionals who possess unquestionable integrity and many cumulative years of experience in the financial markets that include securities industry regulation, brokerage operations, legal, management, and accounting.

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OUR APPROACH

OUR-APPROACH

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.

Taurus Compliance Consultants offers a complete approach to the resolution of compliance matters, providing a suite of compliance services that can be customized to the needs of our clients.

We ensure that compliance is not only at the core of business operations, but that we monitor the way that compliance works in partnership with all moving business parts. Our approach ensures that business units work harmoniously, bridging the gap between business operations and compliance, to produce your desired business results.

To find out how Taurus can benefit you, contact us.

COMPLIANCE SERVICES

The Role Of Compliance

Robust compliance programs work to build solid business practices and self regulatory processes within financial organizations.  At Taurus, we oversee each and every compliance function for our clients, ensuring adherence to regulatory requirements through implementing the following:

  • Ongoing monitoring and surveillance of business transactions and communications.
  • Advisory, monitoring and education roles to support the organization’s compliance will self regulatory (SRO) rules and regulations.
  • Providing regulatory and compliance advice to business control units on an ongoing basis.
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OUR BLOG

Latest News

News Feeds

  • Regulatory Notice 22-01
    Executive Summary FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with… Read more »
  • Regulatory Notice 21-45
    Summary FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the… Read more »
  • Regulatory Notice 21-44
    Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the… Read more »
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