Compliance Consultants, LLC
Thomas Rausch,
CPA, CFP®, AIFA®

 


 

Thomas Rausch, CPA, CFP®
Compliance Solutions

Gain a competitive advantage.
Compliance Consultants can advise you on best practices for information processes, internal controls, and department structure.

Consulting Services

·
       
Policy and procedure development - customized for your business
·        SEC inspection support  - help you prepare for the regulator's visit
·        Compliance training  - focused instruction on your business process
·        On-going review of employee and proprietary trading
·         Advertising and sales literature review

If you have specific questions regarding fiduciary responsibilities and obligations of trustees and other fiduciaries contact our affiliated company Bravo Zulu, LLC.  Bravo-Zulu@Comcast.net and visit their website at http://www.bravozuluonline.com/

 

 

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