New York, NY – In the wake of the Great Recession, the financial industry is now among the most heavily regulated sectors of the economy. It is much more difficult to start a new business in the financial industry today while remaining in compliance with the various regulations and statutes.
Compliance Matters helps financial firms observe the regulatory laws of the Financial Industry Regulatory Authority and the SEC. Led by its founder David Mack, Compliance Matters works with new businesses in financial marketing and securities to obtain all the necessary licenses and approvals to open their business in full compliance with all federal laws and regulations.
“We help people start firms, help them regulate their firms,” says Mack. “We have the expertise and knowledge and the ability to structure, fill out the applications and guide people to a successful conclusion, which is acceptance by FINRA and membership.
Compliance Matters and its associates are dedicated to the highest principals of securities compliance for Broker-Dealers and Registered Investment Advisors. Mack himself boasts 50 years of experience in the securities industry. HE is an expert in regulatory aspects of broker-dealer compliance. This is especially useful in a regulatory climate that is constantly changing.
“People want to be in the securities business and help raise money for companies that want to go public, grow, and raise money. But it's very carefully controlled. It's a very highly regulated industry and getting more so,” says Mack. “As a business, you have to be very attentive, find the right sources to advise you of the changes every day and make sure you follow up.”
For more information on Compliance Matters, visit http://compliancematters.biz.
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