RND Compliance
www.finracompliance.comSpecializing in FINRA and SEC consulting, compliance, and remediation for broker-dealers, RIA firms, fund managers, and related financial industry firms. We’re committed to providing expertise in compliance matters such as; consulting for start-up firms, resolving regulatory actions, audit and exam preparation, cyber security controls, on-going compliance administration, and much more.
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Specializing in FINRA and SEC consulting, compliance, and remediation for broker-dealers, RIA firms, fund managers, and related financial industry firms. We’re committed to providing expertise in compliance matters such as; consulting for start-up firms, resolving regulatory actions, audit and exam preparation, cyber security controls, on-going compliance administration, and much more.
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Country
State
California
City (Headquarters)
Woodland Hills
Employees
11-50
Estimated Revenue
$1,000,000 to $5,000,000
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Vice President
Email ****** @****.comPhone (***) ****-****Chief Operating Officer / Legal and Regulatory Affairs
Email ****** @****.comPhone (***) ****-****
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