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| Compliance Solutions That
Work
Our Compliance Consulting Firm Comes to You | |
Dynamic Compliance Consulting LLC offers a number
of personalized services, both ongoing and project based, at
affordable prices. Please Contact us to set
up an appointment or for more information.
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Compliance
Services | - Perform Mock SEC Audits
- Create, Update, & File ADV Part I
- Create & Help Implement Code of Ethics
- Perform Annual Review of Compliance Program
- Provide Compliance Checklist & Reminder Calendar
- Help Prepare Annual 15C Materials
- For Mutual Fund Board of Directors Review
Implement Compliance Program Provide Compliance Consultations via Telephone or E-Mail Create & Help Implement Written
Policies & Procedures Create & Update ADV Part II or Other Disclosure
Documents Review Marketing & Advertising Material, Including
Websites Provide One-Time or Continuous Compliance Education &
Training Create & Maintain State Registrations, Notice Filings,
& "Blue Sky" Filings
| This List Is
Not All Inclusive—We Are Happy to
Discuss Creating Customized Services |
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Help protect your firm with consulting,
educational compliance training,
and policies and procedures that you can rely
on. |
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Hours of Operation:
Monday–Friday
8 a.m.–5 p.m. |
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