Accordo Compliance
Practical Compliance Support for Financial Firms
What we do?
Helping Firms Manage Regulatory Requirements With Confidence
Accordo Compliance provides regulatory compliance consulting services designed to help financial firms address regulatory obligations, identify compliance concerns, and maintain effective compliance programs.
Our team provides practical guidance, customized solutions, and ongoing support to help firms navigate SEC, FINRA, and state regulatory requirements.
Who We Are
We help clients manage compliance responsibilities through thoughtful reviews, regulatory guidance, policy development, and ongoing support.
Whether your firm needs assistance with registration, compliance reviews, regulatory examinations, or ongoing compliance support, Accordo Compliance provides clear recommendations and practical solutions.
Our professionals bring extensive experience in financial services compliance and understand the challenges firms face when managing evolving regulatory expectations.
Compliance Services
Accordo Compliance provides support in the following areas:
- Registration and regulatory filings
- SEC Form ADV amendments
- SEC, FINRA, and state registrations
- Compliance policies and procedures
- Code of Ethics development and updates
- Personal Trading Reviews
- Annual compliance review
- Documentation of compliance reviews
- Testing of compliance policies and procedures
- Risk Assessment
- Updates regarding regulatory changes
- Regulatory examination preparation
- Mock regulatory examinations
- Advertising and marketing review
- Books and records review
- Conflict of interest identification and review
- Employee compliance training
- Compliance manual reviews and updates
- Regulatory inquiry support
Contact Accordo Compliance
Have questions about your compliance program?
Contact Accordo Compliance to discuss how we can support your regulatory needs.
📧 maria.hart@accordocompliance.com
📞 (973) 619-9368
