Company Information

Get to know KT Compliance Solutions, LLC

Founded in 2012, KT Compliance Solutions, LLC is a specialized consulting firm dedicated to assisting registered investment advisers (RIAs) with navigating the complex landscape of regulatory compliance. The firm offers a comprehensive suite of services, including RIA registration, development and testing of compliance programs, mock SEC exams, ongoing CCO support, and cybersecurity policy development. Their mission is to provide practical, tailored, and cost-effective compliance solutions that allow financial advisers to focus on their clients and business growth while maintaining a strong culture of compliance.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

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KT Compliance Solutions, LLC

United States

Founded in

2020 (6 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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FTD LIMITED

(505 reviews)

British Virgin Islands

2017

(9 years)

Security Information :

BVI FSC

Security Information

Warning

This company is currently Unproved.

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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.