Welcome to Compliance Outsourcing Solutions

Effective Compliance Controls While Reducing Compliance Cost.

Compliance Outsourcing Solutions, LLC (“COS”) was established to assist firms in developing highly effective compliance programs while reducing compliance costs.  COS can provide a broad range of compliance consulting services to banks, broker dealers, and investment advisors so that they can focus on execution and business development not compliance administration.The primary objective of COS is the identification of methods that will reduce risk and related costs.

COS Core competencies include:

Broker Dealer development and expansion including FINRA new member and CMA filings
Investment Advisor registrations with the SEC and/or States
Preparation and filing of investment advisor Forms ADV Part I, Part 2A and 2B
Mock SEC and FINRA exams for broker dealers and investment advisors
Consultation and remediation regarding FINRA, SEC or State examinations
Outsourcing compliance testing functions and responsibilities
Independent compliance reviews