The Securities Industry and Financial Markets Association Sources & eSources 2008 - 2009
The Securities Industry and Financial Markets Guide to Products and Services
| Compliance
Full service accounting, compliance, and risk management consulting firm specializing in SEC registrations, CCO Training, AML Audits, Written Supervisory Procedures, Due Diligence, Best Execution, Risk Assessments and Mock SEC Audits. Accounting specialties include bank reconciliations, bookkeeping, brokerage statement analysis, net capital computations, tax preparation, financial audit support, and FOCUS reporting. |
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