Company Information

Get to know Compliance Consulting Group

Founded to meet the complex compliance needs of the financial sector, Compliance Consulting Group, LLC is a specialized firm that assists broker-dealers, registered investment advisers, and private funds. The company focuses on navigating the intricate regulatory landscape set by bodies like the SEC and FINRA. Their services range from initial registration and policy development to ongoing compliance support, annual reviews, mock regulatory audits, and anti-money laundering (AML) independent testing, aiming to provide practical and effective compliance solutions.

Industry

Financial Legal ServicePRIMARY
Financial Banking
Financial Other Service

Contact

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Compliance Consulting Group

United States

Founded in

2018 (8 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Reviews

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TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.

Regulated

Recommended

(73 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.