Contact

Contact Compliance Solutions Strategies

Email us: info@compliancesolutionsstrategies.com

New York City, NY

777 Third Avenue, 10th Floor
New York, NY
10017

+1 212-576-1170

Salisbury, Connecticut

194 Main Street
Salisbury,
Connecticut 06068

+1 860 435 2255

Dublin, Ireland

Longboat Quay
57/59 Sir John Rogerson’s Quay
Dublin 2, D02 F242

+353 1 671 6911

London, UK

4 St Paul’s Churchyard
Fourth Floor
London EC4M 8AY

+ 44 (0) 208 158 4580

Amsterdam, Netherlands

Amsterdam Sarphati Plaza
Rhijnspoorplein 10-38
1018 TX Amsterdam
The Netherlands

+31 (0)20 808 5915

Stockholm, Sweden

Barnhusgatan 16
111 23 Stockholm,
Sweden

+46 8 34 33 10

Paris, France

9 Rue du 4 Septembre
75002
Paris

+33 (0)1 82 88 89 01

Write us directly by submitting the form below:

Loading form…

 

10 Compliance Tips for Starting 2020 Off on the Right Foot

No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning. With renewed energy as we roll into January thaw, we worry if our compliance program is ready. To give you a leg up, here are 10 tips for investment adviser and broker-dealer compliance teams for … Continued

Compliance Lessons Learned in 2019

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s resolutions, the effect of any rest over the holidays has worn off and we need to complete our annual compliance reviews for 2019 and firm up our 2020 plans. While I don’t have solid advice … Continued