Regulatory Compliance Solutions Inc.
Regulatory Compliance Solutions Inc.
1120 6th Ave Suite 4049
New York, NY 10036
347-609-3945
Info@RCSI-Group.com
Financial firms involved in enforcement proceedings may have to
engage a compliance consultant to serve as its Independent
Compliance Consultant (“ICC”). The ICC will review and test the firms
compliance and operational infrastructure, and make
recommendations to strengthen the compliance program or perform
the 206(4)-7 annual review.
RCSI provides ICC services to firms to address SEC or FINRA
enforcement actions. RCSI will help clients manage the process, and
provide compliance solutions to address its deficiencies. RCSI knows
what the regulators want. Let us help you with the heavy lifting.
Independent Compliance Consultant
10-24-2022
Regulatory Compliance
Solutions Inc.
Independent Compliance Consultant
Financial firms involved in enforcement proceedings
may have to engage a compliance consultant to serve
as its Independent Compliance Consultant (“ICC”).
The ICC will review and test the firms compliance and
operational infrastructure, and make recommendations
to strengthen the compliance program or perform the
206(4)-7 annual review.
RCSI provides ICC services to firms to address
SEC or FINRA enforcement actions. RCSI will help clients
manage the process, and provide compliance solutions
to address its deficiencies.
RCSI knows what the regulators want. Let us help you
with the heavy lifting.
Regulatory Compliance Solutions Inc.
1120 6th Ave Suite 4049
New York, NY 10036
347-609-3945
Info@RCSI-Group.com
10-24-22
