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.
  • Assisting in the development of policies, procedures and guidelines designed to facilitate compliance with regulations
  • Conducting training and education programs designed to keep the organization’s members abreast of compliance policies and procedures.
  • Conducting business unit compliance reviews to identify and minimize potential compliance risks
  • Administration of a firm’s licensing and registration requirements for registered personnel
  • Facilitate anti-money laundering programs
  • Facilitate a culture of compliance within an organization

At Taurus, we partner with our clients to develop comprehensive compliance programs that meet their organization’s individual needs.

Start-Up Services

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  • State Registrations
  • Individual Licensing and Registrations
  • Business Changes/Expansions​ (1017 Filing)

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