Capital Markets Compliance

Capital Markets Compliance is a renowned firm specializing in offering expert regulatory guidance and tailored compliance solutions for financial service firms in the Financial Services industry. With a strong reputation as a leader in compliance and accounting for over 18 years, CMC serves as a trusted advisor to the financial industry, providing a comprehensive range of compliance and accounting service solutions tailored to the specific needs of each client. The firm's services include assistance with regulatory membership applications such as Broker-Dealer FINRA, SEC & MSRB, and Investment Advisor State and SEC.

CMC also offers ongoing compliance and financial accounting consultations billed on an hourly basis, or through comprehensive annual service plans. This approach allows for flexibility and personalized support, aligning with the diverse needs of financial service firms. The firm's focus on securities products, including private placements, mergers & acquisitions, full-service brokerage, and investment advisory services, positions it as an essential partner for navigating complex regulatory landscapes.