Fundamental Compliance Consulting, LLC
607-358-4084
No photo available for this business
Business Information
AML Independent Test, AML Testing, B/D Compliance, Broker Dealer Compliance, Securities Compliance Consulting, Securities Compliance, Written Supervisory Procedures, FINRA compliance, Catherine Mustico, securities regulation, FINRA regulationAML independent testing, Written Supervisory procedures, Annual Report to Senior management, 3012, Simulated regulatory examinations, Trustee Services
Broker Dealers, Investment Advisory, Trust Administrators
2012
Association of Certified Fraud Examiners, Association of Anti-Money Laundering Specialists
AML Expert. Fraud Expert
| MONDAY | : | 9:00AM | - | 6:00PM |
| TUESDAY | : | 9:00AM | - | 6:00PM |
| WEDNESDAY | : | 9:00AM | - | 6:00PM |
| THURSDAY | : | 9:00AM | - | 6:00PM |
| FRIDAY | : | 9:00AM | - | 6:00PM |
Business Description
Fundamental Compliance Consulting provides Broker/Dealers with guidance and services that support compliance with FINRA Rules, Federal Securities Laws, and Securities and Exchange Commission regulations .
Fundamental imparts expert guidance regarding compliance and ongoing assistance to established and emerging FINRA member Broker/Dealers. Fundamental specializes in small Broker/Dealers with less than 50 Registered Representatives.
Regulation can be daunting, often confusing and sometimes contradictory. So with more than a decade of experience in regulation, our team will provide you with guidance you can trust. Period.
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