The Goldstein Law Group, P.C. | Compliance Program

We now offer an all inclusive compliance review program that ensures that our clients are managing their compliance functions and record keeping obligations correctly and in a timely manner. The response to the program has been excellent. We have already assisted many of our clients in successfully preparing for their regulatory audits. The Program is supervised by Attorneys and Staff with more than 75 years of experience as NYSE Floor Brokers, upstairs traders and compliance professionals.

Our Compliance Program:

Helps you verify that your compliance program and procedures are within NYSE, NASD (FINRA), AMEX, other SRO's and SEC standards
Set-up and manage the new Hedge Fund registration and compliance
Assists firms in maintaining required compliance records and provides AML audits and AML continuing education
Web CRD service bureau administration
Electronic filing platform services
Business continuity plans
Monthly meetings to examine and discuss your firm's obligations including new rules and requirements
Procedure manual updates
Error log review

Among other compliance functions.