Things You Need To Know:
Most WSP's are NOT tailored to the firm. Are yours? Call 860-997-4160.
This Month's Featured Service: Outsourced CCO
For many firms it is not cost-effective to hire a full-time CCO. But you need to have one! Outsource it! 860-997-4160
The regulators recognize the challenge...
SEC and States will do more audits!
The SEC and States will be more diligent with on-site audits. Fix any issues NOW, before they arrive. Call 860-997-4160 for a Mock Audit