U.S. federal trademark · Serial No. 77233620 · Reg. No. 3408488
Management and business consulting services in the field of SEC and broker-dealer compliance matters for investment managers; Outsourcing in the field of regulatory compliance, namely acting as Chief Compliance Officer for SEC registered and unregistered advisors, companies and hedge funds; tracking and monitoring of investment firms' securities regulatory compliance program; Business evaluation of regulatory compliance activities and written compliance policies and procedures; Business consultation services
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