Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a practical solution to an issue, you may need support for a project team, or simply need support to cover a vacancy or busy period.
Let AUM Law help you by providing timely advice and support when you need it. We can be your compliance "hotline" and provide ongoing support. We can set up fixed-fee or pay-as -you -go support plans that meet your needs. If you need help developing an AML/ATF training program, or want us to build and present training, please contact us.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.