ABOUT US

ComplianceDirect provides superior compliance consulting services for securities and futures brokerage firms, external asset managers (EAM) and wealth managers, fund managers, investment advisors, private banks, retail banks and corporate banks, insurance brokers and insurance agents, insurance companies, money lenders, money service operators, and trust companies.  ComplianceDirect brings in innovative and cost-effective approach to compliance consulting services.  Our goal is to assist clients to provide professional compliance solutions, regulatory license application services, essential compliance resource for clients and compliance training.  The founder of ComplianceDirect is distinguished by his abundant and diversified compliance expertise and experience in the financial industry.  Our competent consultants possess very good and hands-on compliance knowledge and experience, thereby ensuring that our clients receive the most effective and professional services.