Company Information

Get to know the business ferret, llc

Founded in 2014, The Business Ferret, LLC provides specialized consulting services to broker-dealers, investment advisers, and fintech companies. Their primary mission is to help financial firms navigate the complex regulatory landscape of entities like the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). The company offers a range of services including assistance with new and continuing membership applications, development of compliance and cybersecurity programs, anti-money laundering (AML) independent audits, and support during regulatory examinations.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

Contact

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the business ferret, llc

United States

Founded in

2005 (21 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.