FIN COMPLIANCE

We operate within a consortium of compliance, technology, and training consultants to assist investment firms in structuring, maintaining, and developing their regulatory programs... As a whole, we provide compliance, sales, and integration systems to the FIN Service Ecosystem, which includes SEC and state-registered investment advisors, financial planners, insurance agents, private funds, broker-dealers, and consulting vendors. Since 2012, we have served more than 200 firms in the financial services ecosystem... We offer compliance, sales partnerships, and tech integration portals to enhance firm communications, stakeholder procedures, and to provide consolidation points with third party applications

Primary location: Walnut Creek United States