Compliance Exchange, Llc
Formed in 2004, Compliance Exchange, LLC specializes in providing effective compliance solutions to Broker Dealers, Investment Advisers and other financial institutions throughout the United States. We partner with our clients to deliver a full array of customized solutions including: • AML Compliance Programs, Training & Independent Testing • Compliance Consulting • Membership and Registration services • Annual Compliance Reviews • Business Continuity and Succession Plans • Financial Principal, FOCUS Reporting, Annual Audit Assistance • Written Supervisory Procedures & Compliance Manuals • Supervisory and Internal Control Testing, Mock Audits • Compliance Training • Continuing Education Programs
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