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Regulatory Compliance appreciates the support of this event from
the following sponsors and exhibitors:
Full BD and RIA registration services. Specialists serving the ongoing compliance needs of Broker-Dealers and Registered Investment Advisers. Registered Rep registrations, renewals, Continuing Education management. Manuals, including Supervisory Procedures, Anti-Money Laundering, Business Continuity and Identity Theft. Office inspections, AML reviews, and mock FINRA/SEC exams. FINOP and other accounting services. Visit www.RegulatoryCompliance.com for more information or call today 603-434-3594
CLICK HERE to Download our Cybersecurity Advantage brochure to learn more about the steps we will take to help you become and maintain compliance in the area of cybersecurity.
With over 20 years of technology experience, Financial Computer has been providing professional cyber security services, solutions and support. With our founder’s knowledge of technology and our select team of passionate security experts, we offer security tools that are easy to implement and keep you compliant with your cybersecurity policy. Our innovative products and solutions are designed to exceed the requirements and needs of our clients.
North American Professional Liability Insurance Agency, LLC (NAPLIA) is the leading independent agency in the country specializing in professional insurance products for Financial Professionals.
DeMarco Sciaccotta Wilkens & Dunleavy, LLP is a full-service boutique accounting and advisory firm. With more than 75 years of collective experience at a leading U.S. accounting firm, our partners have earned the loyalty of clients nationwide. We are a Public Company Accounting Oversight Board (PCAOB) registered firm and have undergone peer review as administered by the American Institute of Certified Public Accountants.
