ABOUT US

GREATER PEACE OF MIND

 

Taurus Compliance Consulting, LLC specializes in providing a full range of regulatory compliance and advisory services for broker-dealer firms as well as privately held and public companies.

Whether it is a mock FINRA exam, or a mock SEC audit, Taurus Compliance Consulting, LLC has the necessary resources to bring your firm into compliance.

The Taurus consulting team is comprised of a network exceptional professionals who possess unquestionable integrity and many cumulative years of experience in the financial markets that include securities industry regulation, brokerage operations, legal, management, and accounting.

Our services are tailored to your specific needs and, whether you are a one-person retail broker-dealer or a full-scale multi-registered representative broker-dealer, Taurus can meet all your needs for success in today’s increasingly challenging business and regulatory compliance environments.

The recent revelations that have occurred in the investment community will, most assuredly, incite the SEC and FINRA to hone in on the accounting and compliance practices of its member firms.

  • How confident are you in the state of your broker/dealer firm’s compliance policies and your firm’s adherence to SEC and FINRA regulations?
  • Are your broker/dealer firm’s AML/BSA procedures in compliance with all SEC statutes and FINRA rules and regulations?
  • Can your firm’s accounting practices pass scrutiny and are they compliant with the most current SEC and FINRA rules and regulations?
  • How assured are you that your personnel records follow the strict rules and regulations imposed by the SEC and FINRA?

Our unique insight into the regulatory environment and comprehensive knowledge of the complex intricacies of the financial market assures you of complete compliance within the increasingly challenging business and regulatory environments.

The experience you require, the expertise you need

Call us at 1-888-963-9519

OUR APPROACH

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

Call us at 1-888-963-9519

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