FLC Services

Costs to the securities industry from today's heightened regulatory environment continue to climb.  According to a 2006 survey by the Securities Industry Association, this is one of the steepest challenges facing firms.

Our goal is to help firms reduce their overall compliance costs by providing them with effective and innovative solutions that will guide them safely through a tough regulatory environment.

Let us deal with the regulators so you can focus on what’s important to you -- your customers.

FLC excels in the following areas:

• Registration and Filings
• Regulatory Administration
• Forensic Testing of Compliance Functions
• Mock Regulatory Audits and Compliance Evaluations
• Rule 2821 Compliance
• AML Compliance
• Customized Policies and Procedures
• Annual Compliance Review
• Hedge Fund Services
• Litigation Support
• Crisis Consulting
• Government Services