Regulatory Intelligence Compliance Solutions Inc.
HOME
EXECUTIVE SUMMARY
MANAGEMENT
SOLUTIONS -
RICS Regulatory Change Management System™ :
- Branch Office Audit Tool
- AML Audit Tool
SERVICES
LINKS
CONTACT US


ABOUT US

WHO WE ARE

Regulatory Intelligence Compliance Solutions Inc. is a Compliance Consulting and Outsourcing firm founded by former NYSE Securities Regulators and industry Compliance Professionals with extensive experience in Broker-Dealer compliance. Our firm specializes in Securities Regulation (FINRA, NYSE, SEC), Mock Regulatory Audits, Regulatory Exam Coordination, Written Supervisory/Compliance Procedures and Web-based compliance software.

OUR APPROACH

Regulatory Intelligence Compliance Solutions' compliance experts work with your management team to provide cost effective compliance solutions. Our compliance services will help your firm accomplish its regulatory obligations while managing costs and increasing efficiency, thereby saving you time and money. Our compliance experts can advise your firm on prevention, detection, and corrective action compliance solutions. We provide full-service compliance solutions by networking with compliance Technology Vendors as well as Attorneys, and other professionals specializing in Regulatory Compliance.


 
Home  |  About Us  |  Management  |  Services  |  Links  |  Branch Office Audit  |  Contact Us

Copyright 2005-2017 Regulatory Intelligence Compliance Solutions Inc.
Website Designed, Maintained and Hosted by Lakefront Media, Inc.

 

Branch Office Audit.PDF Branch-Office-Audit.pdf Independent-Test-for-Bank-AML-Program.pdf