Accordo offers compliance advisory services at every touch point during a financial services company’s life-cycle. Understanding the regulatory landscape enables us to guide our clients through start-up, growth, and maturity. Accordo is OneGuide, providing the consulting services that include:

  • Written Program Development and Implementation
  • Compliance Program Support
  • Compliance Testing

    • Risk Assessments
    • Annual Compliance Review
    • AML Independent Testing
    • Internal Reviews
  • Review Follow-on/ Corrective Action
  • Regulatory/ Compliance Due Diligence

    • Acquisition targets
    • Counterparties
    • Strategic partners
  • Registrations

    • SRO’s – FINRA and NFA Membership Applications
    • SEC
    • States
  • Regulatory Reviews

    • Support for SEC, SRO, and State Examination
    • Regulatory risk mitigation
    • Non-legal advocacy/ response
    • Corrective Action
  • Dispute Resolution

    • Arbitrators
    • Expert Witnesses

To request more information about our consulting services click here.