From time to time, regulators may impose terms and conditions on dealers to hire an Independent Compliance Consultant to review and assess the firm’s compliance program, and make recommendations to strengthen elements in that program. Securities Dealers may opt to engage a Compliance Consultant, subsequent to a regulatory audit, to pro-actively strengthen their compliance program.

Comarm has provided Independent Compliance Consulting services to securities dealers and advisers, and we have many years’ experience dealing with securities regulators, and meeting regulatory expectations.