◈ NBFCs, advisors, lenders & payment firms
Finance & Fintech compliance
Regulatory filings, AML controls and data security for firms that move money.
ComplianceFrequency
AML / KYC Program
Customer due diligence, screening and suspicious activity reports.
SOC 2 Type II
Control mapping, evidence collection and auditor coordination.
PCI DSS
Cardholder data scoping, SAQ and quarterly scans.
Regulatory Returns
Periodic statutory returns to financial regulators.
Investment Adviser Filings
Form ADV, disclosures and code of ethics.
GLBA Safeguards Rule
Information security program for customer data.
Statutory Audit
Financial statement audit and board reporting.
Plus the essentials every business needs
Company Annual FilingsIncome Tax (Federal & State)Sales TaxPayroll & Labour LawTrademarks & IPData Privacy
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