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  1. Law offices of DARIN H. MANGUM, PLLC

    SOLUTIONS FOR TODAY'S ENTREPRENEUR
    venture capital2
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    blue sky1
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    partnership law1
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    real estate syndication1
    securities compliance1
    private placement offering1

    www.mangumlaw.net - 2009-02-12

  2. L&S Consulting Group, Inc.

    L&S Consulting Group, Inc. is a regulatory compliance company that provides consulting services and technology to firms in the financial services industry. L&S ...
    Inc.3
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    L&S Consulting0
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    New York compliance0
    Regulation S-P0
    Rule 30120
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    SEC Compliance Consulting0
    Steve Solano0

    www.lsconsultinggroup.com - 2009-02-04

  3. OSCcompliance.com

    OSC, Ontario Securities Commission, compliance, securities compliance, securities, Ontario
    Ontario4
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    Ontario Securities Commission1

    www.osccompliance.com - 2009-02-07

  4. B/D Consulting Associates, Inc.

    B/D Consulting Associates, Inc. (BDCA) is a group of talented professional consultants that offers a vast array of services and products that are designed to ...
    Broker4
    FOCUS2
    Compliance consulting1
    FINOP1
    Securities compliance1
    SEC audit1
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    Temporary FINOP0

    www.bdcaonline.com - 2009-02-13

  5. Home Page

    Comprehensive Securities Compliance Solutions, Inc. Your Subtitle text Home Our Services Our Partnerships Contact CS2 About CS2 Home Our firm is designed to ...
    investment4
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    securities arbitration1
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    RIA compliance1
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    branch examinations0
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    www.cs2compliance.com - 2009-02-09

  6. SHANNON L. McDOUGALD P.S. - HOME

    Shannon L. McDouglald provides oustanding legal services to businesses and individuals with the highest degree of professionalism.
    Employment4
    Compliance3
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    Copyright2
    Securities2
    Arbitration2
    Discrimination2
    Business Litigation2
    Financial advisors2
    Investment advisors2
    Defense Lawyer1
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    10b-51
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    McDougald Law0
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    www.mcdougaldlaw.com - 2009-02-13

  7. Investment Advisor Compliance Solutions, Regulatory Compliance, Broker Dealers, Investment Advisors, Finop, Manuals, Audits, Series 7 training

    Regulatory Compliance is a securities compliance consultant service specializing in services for Securities Broker Dealers, Registered Investment Advisors
    Investment4
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    securities law1
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    www.start-an-ria.com - 2009-02-06

  8. ConcernCheck :: Home

    ConcernCheck is the leading Canadian provider of 24 – 7 confidential employee tip lines. Experienced live HR interviewers, real-time report delivery.
    Canada5
    Canadian3
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    Sarbanes-Oxley Act 20021
    Section 3011
    employee reporting system1
    Sarbanes Compliance1
    concern check1
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    Multilateral Instrument 52-1101

    www.concerncheck.com - 2009-02-09

  9. Investment Company & Investment Advisor Regulatory Compliance

    Securities Regulation Compliance Russell C. Weigel IIl Email 786-888-4567 5775 Blue Lagoon Drive Suite 100 Miami, Florida 33126 Russell C. Weigel, III, assists ...
    Florida5
    New York5
    Washington D.C.2
    NYSE2
    regulatory compliance2
    New York Stock Exchange1
    investment company1
    investment adviser1
    CRD1
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    IARD1
    AIMR1
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    Form ADV1
    broker-dealer compliance1
    investment adviser compliance1
    SEC examination1
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    Bank Securities Association1
    Investment Company Act of 19401
    deficiency letter1
    Form BD1
    Russ Weigel1
    ’40 Act0
    bank broker-dealer compliance0
    CFTC compliance0
    former SEC attorney0
    investment compliance attorney0
    NASDR compliance0
    recordkeeping and disclosure0

    www.investment-compliance.com - 2009-02-13

  10. Anchovy Software Home

    Anchovy Software specializes in compliance management solutions for financial services firms.
    management5
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    compliance3
    continuing education2
    regulatory compliance2
    CMT1
    compliance management1
    Patriot Act1
    securities compliance1
    firm element1
    compliance tracking1
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    Web CRD1
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    Anchovy Software0
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    webeft Business Components0
    Web EFT Business Components0

    www.anchovysoft.com - 2009-02-05

ctrs1 regulatory compliance2 compliance outsourcing1 compliance3 medical4 management5 audit3 consulting5 healthcare3

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