We perform a detailed evaluation of your files
We review our findings and identify discrepancies
We compile a non-compliance report and provide recommendations to reduce risk
Adversed File Review
per Adversed file
Initial Disclosure Package Review
for Initial Disclosure Package Per File
The SCP team of compliance specialists will work with you to find and fix errors before Regulators do. We then review our findings and recommend best next-steps to achieve compliance. This provides a significant measure of protection for brokerages and reduces the need for costly 3rd party audits.