“Your Securities Consultants” was formed in order to provide financial institutions with compliance services with an emphasis on quality performance and outstanding customer service at a reasonable cost. The cost of compliance and hiring experienced personnel is getting progressively expensive for financial institutions. Outsourcing to proven experts in compliance, operations, finance and legal issues gives firms an alternative to the high cost of maintaining expertise in niche areas of the firms. As a boutique firm, we can design tailor made solutions to meet your needs.

 

With expertise in numerous business lines and departments, all of your needs can be met with a single outsourcing relationship. In order to meet your needs, our team continually works with SEC, FINRA and state securities regulator staff so we keep abreast of the latest regulatory rules, trends and priorities.

 

Call us today to see if we are the solution to your outsourcing needs!

 

Compliance Services

  • AML Evaluation and Assessment
  • Mock Regulatory Examinations
  • Written Supervisory Procedures
  • New Membership Applications
  • Branch Office Inspections

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Legal Support Services

  • Misrepresentation and Omissions
  • Unsuitability
  • Overconcentration
  • Churning
  • Failure to Execute Trades

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