Independent Compliance Consultant
As SEC, FINRA, DOL, and state regulators continue to increase their examination and enforcement activities, you may find yourself the subject of a regulatory proceeding. The result? As part of the settlement, firms are required to engage the services of an Independent Compliance Consultant. Formerly known as NRS Compliance Consultants, the COMPLY experts bring decades of experience navigating complex compliance challenges.
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The Latest News and Insights from COMPLY
Trusted expertise to empower your compliance program. Leverage decades of regulatory knowledge to keep your program one step ahead.
Compliance with Confidence
Our expert compliance consultants understand the challenges you face. Why? Because they’ve been there. As former CCOs and regulators, they know what to look for and how to empower more effective programs. Ready to achieve compliance with confidence?
WITH CONFIDENCE.
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Regulatory-Driven M&A: Why New Rules Means New Deals for Financial Firms
Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.