Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a practical solution to an issue, you may need support for a project team, or simply need support to cover a vacancy or busy period.

Let AUM Law help you by providing timely advice and support when you need it. We can be your compliance “hotline” and provide ongoing support. We can set up fixed-fee or pay-as -you -go support plans that meet your needs. To discuss further, please contact us.

April 4, 2024