Ongoing compliance can often take up a lot of time that you could be using to consult with clients. Swayze LLC’s Concierge Compliance allows you to minimize the burden of paperwork so you can focus on running your business.

Compliance Services for Existing Firms are highly customized to the need of our clients, but some of the services we offer include:

  • Regulatory filings and IARD system maintenance
  • Annual reviews/Mock audit
  • Annual renewal submission
  • Assistance with State or Federal examinations
  • Contracts and corporate documents
  • Advertising reviews
  • Email reviews
  • Personal Account Statements review
  • Best Execution reviews
  • Information Security reviews
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While some of clients engage us on an hourly basis and call us when they need us, most of our clients enjoy our monthly fixed fee program which is customized to the needs of the firm. This approach not only allows us to maintain ongoing relationships with our clients, but the ongoing contact helps to ensure compliance goals are on target.

Contact us today to schedule a consultation and discuss your options.

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