Compliance Consulting
   Securities Regulator
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InvestmentCare Consulting Group is a full-service securities compliance-consulting firm providing direct support to broker/dealers.

As former NASD regulators, we understand that not all broker/dealers are alike so we will tailor our compliance consulting services to best fit your specific needs. For more information regarding our securities compliance services, please contact us at 818-386-6900 or click here.




Starting a Broker Dealer
Changing Ownership
Supervisory Procedures
Home/Branch Office Audits
FinOp Services
Bookkeeping
Continuing Education
Compliance Training
Anti-Money Laundering
Compliance Q&A
Changing Product Mix
Special Investigations
State Registrations
Expert Testimony



In addition to our full-service securities compliance consulting services, we also offer the Securities Regulator. The Securities Regulator provides a unified view of your critical compliance activities by automating, tracking and monitoring registration, firm element & continuing education, audits, outside business activities, form approvals and processing, advertising compliance and more.

 
  • Reduce risk and exposure from non-compliance
  • Increase the accuracy and security of compliance data
  • Lower administrative costs

  • With state-of-the-art Web technology, there is no software to install; so your organization can be up and running today and managed securely from almost any web browser on any computer. Take the Web Tour to see the benefits and features of Securities Regulator for yourself. Or, experience them live by signing up for a FREE 30 day trial.



    InvestmentCare Consulting Group has developed the Compliance Assistant CD which inlcudes Written Supervisory Procedure templates, main office and branch office audit templates, regulatory forms and disclosure documents, customer complaint investigation procedures, state registration information and much more. Contact us at (818) 386-6900 for more information about the Compliance Assistant CD.



    Audit Review
    Supervisory Procedures















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