Securities Compliance Consultants

 As former regulators, we understand the regulatory perspective and points of view applied by exam staff to our clients' business activities and operations. As consultants, we understand that a "one-size-fits-all" approach to compliance solutions never works and leads to greater compliance risk. Making sure our services and solutions are specific, measurable, achievable, realistic, and timely is how we differentiate ourselves from other service providers and add value to our clients. 

With more than 20 years working in the securities industry, InvestmentCare brings a wealth of experience and knowledge to our clients’ compliance, operations, oversight, and supervision needs. Through our clients, we routinely work with SEC, FINRA and state examination staff on a wide variety of issues. We bring the knowledge and insights gleaned from these interactions to the services and solutions we create for our clients.