77233578
Jul 19, 2007
Apr 8, 2008
Management and business consulting services in the field of SEC and broker-dealer compliance matters for investment managers; Outsourcing in the field of regulatory compliance, namely, acting as Chief Compliance Officer for SEC registered and unregistered advisors, companies and hedge funds; tracking and monitoring of investment firms' securities regulatory compliance program; Business evaluation of regulatory compliance activities and written compliance policies and procedures; Business consultation services
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