Compliance Administration

Compliance Administration, LLC is a trusted provider of comprehensive compliance services for registered broker-dealers in New York, NY. With a focus on ensuring adherence to applicable laws and regulations, the company offers a wide range of standard services, including annual compliance certification, business continuity plan review, and employee personal trading record keeping. Additionally, they provide specialized services such as FINRA and exchange examinations, supervisory procedures manual preparation, and website and advertising review.

By understanding the unique needs and goals of each client, Compliance Administration, LLC designs and implements tailored compliance policies and procedures to keep registered broker-dealers one step ahead. With their expertise and commitment to staying up-to-date with industry regulations, they help businesses build effective compliance programs that foster trust and ensure regulatory compliance.

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