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 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.

We will discuss your individual business functions and needs in order to develop a compliance implementation plan for your organization. Following the initial implementation phase, Taurus will work with you on an ongoing basis to ensure that your compliance responsibilities are current.

Taurus provides quick response to compliance concerns and is dedicated to maintaining solid securities compliance for each and every one of our customers.


Fresh Solutions

Taurus possesses a knowledge base that far surpasses the industry competition, facilitating the implementation of ‘Fresh Solutions’ with every compliance partner.

The Taurus business plan attacks the needs of the entire business and the business logistics of our client’s businesses, while working to manage an organization’s compliance costs and overall culture of compliance.

Taurus offers more than “compliance for the sake of compliance.”

The Taurus Compliance team of professionals offer:

  • A personalized approach to brokerage compliance needs
  • Customized software solutions
  • Individualized implementation training
  • Affordable pricing options to fit within every organization’s budget

Taurus offers customized compliance solutions for every client.

Taurus also leverages strategic partnerships to support other vital business functions such as Information Technology and Human Resources. Taurus partners with every client to enhance business operations, while centering focus on compliance.

The experience you require, the expertise you need