Are you looking for compliance solutions for broker-dealers or investment advisers in Chicago and the greater Illinois area? Quadrant Regulatory Group offers a comprehensive range of services. We advise clients on FINRA (the Financial Industry Regulatory Authority) registration requirements, federal securities laws, FINRA rules, state securities laws, and SEC regulations. With that knowledge, you can keep your firm in compliance and provide the best services to your clients.
Quadrant Regulatory’s compliance solutions can help you meet reporting and regulatory requirements. We also keep you up to date with changing compliance and regulatory guidelines. In addition to offering training and education, we can assist you with ongoing compliance requirements and registration. We can also conduct compliance reviews and provide assessments.
Expertise in broker-dealer and investment adviser regulation sets Quadrant Regulatory Group apart from the competition. We not only stay up to date with current regulation requirements but also monitor potential changes, so we are prepared to pivot to keep training up to date. With our help, you can weather the seas of changing regulations and stay in compliance despite the changes.
We offer a team of professionals to fit your business’s needs. We begin by analyzing each client and their specific needs. Then, we tailor a solution to fit your business, keeping you ahead of regulatory developments and helping you meet all compliance requirements.
Quadrant Regulatory Group can also help with enforcement actions. Our compliance experts can help you through enforcement, remedy any errors, and bring you into compliance.
Offering the Full Range of Broker-Dealer and Registered Investment Adviser Compliance Services to Chicago and Beyond
Quadrant Regulatory Group is Chicago’s solution to broker-dealer and investment adviser compliance challenges. Whether you are an investment adviser or a broker-dealer, we can help you ensure that you have all of the financial solutions and compliance tools available to ensure you meet regulations. We can help you reduce your costs, because non-compliance is not only bad business, it is also expensive. We can also help you protect your reputation—the better your reputation for compliance, the better your reputation as a broker-dealer or investment adviser.
Our services include developing compliance programs, dealing with potential compliance deficiencies, and preparing for regulatory examinations. Our expertise allows Illinois firms to deal with a changing regulatory landscape. By helping you stay ahead of trends, we can help you avoid risks and keep your business protected. With us handling compliance issues, you can focus on your core business—investment advising, brokerage, and dealing.
Service Areas
Quadrant Regulatory Group provides several varieties of comprehensive financial regulation and compliance services. We provide FINOP, PFO, and POO services. We also handle accounting support, risk assessments, testing, compliance program development, regulatory exam preparation, developing policies and procedures, and compliance monitoring.
With years of service in the industry, Quadrant Regulatory Group is ready to support your business wherever it is in its lifecycle. We can help you build a new compliance program, conduct risk assessments, run tests, or help you prepare for regulatory exams.
By staying up to date with regulatory changes, we can help ensure that you are always compliant and never fall behind industry standards. We can also provide accounting support.
Our job is to make your job easier. We do that by providing support you can rely on, helping Chicago area firms focus on their core business operations while staying in compliance. Contact us to learn more.