Comprehensive Securities Compliance Solutions, Inc.

Our Services

Our firm acts as an integrated component of yours to ensure consistency and reliability, adding value to your compliance program without adding staff -- and at a reasonable cost.  Our support programs include...
 

    • RIA & BD Firm Start-Up/Turnkey Compliance
    • Compliance Staff Training
    • Regulatory Registration Services (IARD, CRD, ORS)
    • ADV & Brochure Development and Filing
    • Annual Firm Assessments 
    • Code of Ethics and Personal Trading Policy Development and Revision
    • Due Diligence: Product / Services / Employees / RIAs
    • Trade Review/Analyses

     

      • Firm Element Continuing Education Plan Development & Delivery
      • Advertising Review Services
      • Annual Compliance Meeting Design & Delivery
      • Compliance Manual Development & Revision
      • Business Continuity Plan / Privacy Policy Development
      • Arbitration and Regulatory Liaison Support

     

     

       

     

    Due Diligence Services


    CS2 designed the Key Services Evaluation and Key Product Evaluation Programs to eliminate your firm's arduous - yet increasingly necessary - task of evaluating, recording, and periodic review of each of the various outsourcing entities or product lines you may engage. 

    We are able to provide you with a complete record of providers or products we have reviewed and offer referral - or we will complete the KSEP or KPEP for any of your current or desired providers. 

    Our extensive, detailed process frees you and your staff to focus on business growth while providing an appropriate, unbiased evaluation.  

    For More Information: (877) 614-6075      
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