Compliance Consultants, LLC
Thomas Rausch,
CPA, CFP®


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

·        SEC inspection support

·        Compliance training

·        On-going review of employee and proprietary trading

·        Compliance training

·        Advertising and sales literature review

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