Compliance Consulting

In conjunction with their affiliation with the SEC-FINRA COMPLIANCE Consulting Group (SFC), the attorneys at the Law Firm of Castiglia-Rubinstein & Associates offer a comprehensive array of legal and consulting services that provide the right compliance, regulatory, and operational risk management strategies for you and your firm.

SFC is led by a management team with over 100 years of collective experience in the securities industry and is comprised of a corps of highly experienced former senior regulators, senior legal, compliance, and operations officers, and successful business executives.  It provides compliance, regulatory, and risk management products and consulting services to a variety of financial services firms and their associated persons, including Investment Advisers, Broker-Dealers, Hedge Funds and Private Fund Advisers, and Insurance Companies.

SFC is designed to provide customized products and consulting services to address each of their client’s specific needs in response to its compliance, regulatory, and risk management requirements and responsibilities.  Recognizing that cost and competence are of paramount importance to its clients, their seasoned professionals are dedicated to meeting their clients’ needs and still staying within their budgets.

The SEC-FINRA COMPLIANCE Consulting Group (SFC) has offices in the New York metropolitan area and Florida and Consultants located throughout the United States.  For more information on how they can be of assistance to you and your firm, please visit their website (www.secfinracompliance.com) or, for a free consultation, contact them directly, either by telephone (800-SEC-9906) or via email.