QCS Financial Services
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Investment Advisor Compliance

We offer full compliance and registration services to SEC and State Investment Advisors, including:

  • Mock SEC or State Exams
  • Compliance Consulting
  • Annual Compliance Meeting
  • Firm Continuing Education
  • Written Supervisory Procedures Manual - from preparation to minor updates
  • Anti-Money Laundering Policies and Procedures
      • Creation, revisions and reviews
  • Annual Internal Compliance Inspections
  • Advertising Review and Filing
  • Web IARD Filings
  • Business Continuity Plan
  • SEC and State Registrations
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