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SEC Reviews

We can carry out comprehensive checks and mock audits on all or part of your business to help you prepare for any upcoming SEC reviews and make it easy to plan your U.S. regulatory obligations.

Integrated compliance programmes

We specialise in dynamic, integrated compliance programmes; providing one manual and one monitoring programme for your FCA, SEC and/or NFA needs.

SEC registration & SEC reviews

Our premium registration management service means we will draft the content for your SEC reviews and registration to meet the SEC’s expectations. We also provide the appropriate policies and procedures and provide the training you require to stay in compliance.

Ongoing monitoring & support

To help you prepare for SEC reviews and regulatory obligations, we like to work with clients on an ongoing basis so we better understand your business and challenges. Our experts will visit you on a weekly, monthly or quarterly basis to really get to know your processes.

Book a free consultation today to find out how Robert Quinn Consulting can help you prepare for your SEC reviews and obligations.

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What Our Clients Say About Us

Download Our Robert Quinn Consulting Service Brochure

At Robert Quinn Consulting we are committed to providing tailored, integrated advice to financial service companies on their FCA, SEC and CFTC regulatory obligations and needs. Our expert team is comprised of senior compliance consultants who understand cross-border regulations and want to help you be successful.

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As an independently owned firm, we believe in offering bespoke, pragmatic, commercial advice with a strategic outlook to help you grow your business. For over ten years we have been highly praised by our clients for our hard work. For more information on our financial compliance services, download our brochure today.

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Why choose Robert Quinn Consulting

We like to work with you as a partner and trusted advisor in your business, going the extra mile to provide unrivalled customer service.

Working for you

Our primary goal is to help you be successful through superb financial regulation consultancy, and all our services are designed to achieve that goal, keeping your best interests in mind.

Commitment to excellence

We invest in efficient technology, in-depth analysis of new regulations, membership in relevant professional bodies and developing relationships with industry peers to ensure we deliver on our commitment to providing excellent value for money.

Our experienced consultants are industry experts, often praised by our clients for their dedication to helping them succeed. We have been commended for over ten years on our quality of work and devotion to our clients.

 

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why choose
Book a free consultation with our experts today or download our brochure for more information Book a Free Consultation Download our Brochure