Sound Compliance Services LLC
Financial Services - Gig Harbor, Washington, United States of America
Sound Compliance Services LLC Employees
Sound Compliance Services LLC Details
Sound Compliance Services, LLC is a regulatory and compliance consulting firm owned and supported by experienced Chief Compliance Officers and Chief Operations Officers. We know the balance that is necessary for a start-up or existing Investment Adviser or Hedge Fund Adviser to do business. We don't sell products; we provide services that are customized for you and your firm. We facilitate your compliance program through a partnership customized for you and your budget. We can also provide a CCO support service or function for you as the CCO when the CCO wears multiple hats (and cannot dedicate the time or resource necessary to get the job done). We believe we are experts in what we do: - New IA or BD Registrations - Compliance and Operational Program design and implementation - Establishment of "breakaway broker" registrations - Independent CCO services (in support of or as an "outsourced" CCO) - Training and education - Risk assessments / identification / mitigation - Due diligence reviews and assessments - Independent 206(4)-7 or 38a-1 Compliance Program - Among other related activities If you would like a long term business partner that brings to you customized solutions and innovative ideas; please contact us. Sound Compliance is a sound business decision!
