Accent Compliance, LLC



Comprehensive Regulatory Compliance Services

Broker-dealers and Investment Advisers can choose from a wide range of compliance services such as:

  • Broker-dealer FINRA and state registrations
  • Investment adviser SEC and state registrations
  • Accounting: FINOP outsourcing (Series 27, 28), FOCUS preparation and filing, net capital computation, bookkeeping
  • Firm Element and AML online training
  • Compliance manuals: supervisory procedures, anti-money laundering, business continuity, continuing education training
  • Continuing education courses
  • Compliance examinations
  • Anti-money laundering examinations
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