ABOUT US
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.
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.
WHAT WE DO
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.
OUR BLOG
Latest News
News Feeds
- Regulatory Notice 23-08Summary In this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4… Read more »
- Regulatory Notice 23-09Summary An efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA… Read more »
- Regulatory Notice 23-07Summary FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as… Read more »
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