BD/IA Compliance Solutions, LLC

Investment ManagementMaryland, United States0-1 Employees

Comprehensive compliance consulting services for registered investment advisors and broker-dealers. Entity formation: we help you select the appropriate business form and establish your company. Registration: we help you become registered as an investment advisor or broker-dealer firm. We prepare all of the documents necessary for the filing, including your compliance manual/ WSPs, customized for your business. Ongoing compliance: we help you maintain compliance as laws and regulations change and as your business evolves. We help you stay on track with your own internal compliance and supervisory responsibilities. We will assist you to prepare for and handle regulatory examinations. When you have questions, we are available to provide the answers.

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