Our Services
Our Services
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In order to meet individual needs of clients, the co-founders and consultants of ComplianceDirect maintain a wide range of compliance and regulatory knowledge experience in the banking, brokerage, wealth management, fund management and insurance industries.
Services include:
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Regulatory license applications and establishment of licensed entities
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Examples of other value-added services - 1. Setting up Investment Suitability Framework
2. Setting up new business lines
3. Review client agreements, account opening documents, client declaration forms, etc.