Hamilton Grant Compliance Solutions
Financial Services - , California, United States
Hamilton Grant Compliance Solutions Employees
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Hamilton Grant Compliance Solutions Details
Hamilton Grant fulfills the roles of Chief Compliance Officer (CCO) and regulatory administrative staff for independent M&A advisory firms. Our clients are liberated from the senior-level time and costs associated with federal and state licensing and hiring, staffing and maintaining in-house compliance and administrative resources, improving their ability to source and close transactions. HG's professional team of experts manage all aspects of securities-related compliance and administrative requirements for M&A advisory practices and their individual practitioners*:• Individual FINRA registrations and licensure• Corporate compliance requirements• Books and records related to broker-dealer activities: maintained for the required three-year period related to transactions, and for the required six-year period related to individual practitioners• Regulatory inquiries• Retaining, overseeing and remitting payment to CPA firms for SEC-required third-party auditsOur services are cost-efficient and predictable:• Annual charges to maintain registrations for a small service fee• Revenue participation based on client fee collections from broker-dealer activity* HG Compliance Solutions is a SEC registered broker-dealer and member FINRA for the purpose of providing outsourced compliance and regulatory solutions to M&A advisory firms. HG does not provide M&A advisory or any other investment banking services.
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