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