CAPITAL MARKETS COMPLIANCE

Capital Markets Compliance specializes in providing regulatory guidance for financial service firms that offer securities products, including but not limited to private placements, merger & acquisitions, full-service brokerage, and investment advisory services. CMC is known as a leader in compliance & accounting for financial service firms and a trusted advisor to the financial industry for more than 18 years. CMC provides an array of compliance and accounting service solutions designed to help ... improve business performance. CMC delivers a comprehensive suite of services based on our clients’ individual needs, which includes assistance with regulatory membership applications, such as Broker-Dealer FINRA, SEC & MSRB and Investment Advisor State and SEC. Our ongoing compliance and financial accounting consultation are billed on an hourly basis or we can set up comprehensive compliance and financial annual packaged service plan.

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