Financial Services - N/A, N/A, US
ELM Consulting Corporation provides Attorneys, Broker Dealers and Individual Customers with various work product, opinions, perspectives and guidance related to securities industry. "Compliance is an art not a science". Each firm is different and we understand that. We can provide a firm's staff with the knowledge and training necessary to prevent regulatory scrutiny. We can find the deficiencies, correct them, and with quality compliance policies and procedures, help prevent deficiencies from occurring in the future.
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