Securities Compliance Consultants
Compliance solutions for complex markets.
Securities Compliance Consultants
Compliance solutions for complex markets.
InvestmentCare provides compliance solutions to broker/dealers, investment advisors, fund companies, family offices and other regulated entities. Our clients' business activities are as varied as the stock market. That's why we partner with our clients to customize solutions tailored to their specific needs.
What We Do
Our Services
Securities laws apply to everyone equally. The challenge is that every situation, set of circumstances and fact patterns, are unique to each firm. While a solution may suit one firm, it is likely that the same solution will be inappropriate for another firm. Knowing this and being able to tailor services to each unique client is InvestmentCare's specialty. We strive to find the solution that best meets the specific needs of our clients.
Our Background
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.
Our Expertise
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.
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