Our team of professionals has decades of experience and expertise in navigating the Broker-Dealer registration process along with ongoing compliance requirements upon firm approval. All compliance, supervisory, control, and financial systems are customized and implemented along with the required books, records and documentation being securely maintained. We assist clients with the preparation and filing of documents required by FCA, FINRA, SEC, NFA, CFTC, regional exchanges and state regulatory agencies.

Our staff include individuals who can act in a registered capacity for UK firms seeking FCA authorization.

Similarly, our staff can provide the full spectrum of documents necessary in gaining FCA authorization.