{"id":640,"date":"2023-06-28T07:50:43","date_gmt":"2023-06-28T07:50:43","guid":{"rendered":"https:\/\/iqeq.com\/us\/services\/compliance-consulting-u-s\/"},"modified":"2026-04-21T13:28:12","modified_gmt":"2026-04-21T13:28:12","slug":"regulatory-and-compliance-services","status":"publish","type":"service","link":"https:\/\/iqeq.com\/us\/services\/regulatory-and-compliance-services\/","title":{"rendered":"U.S. regulatory and compliance services"},"content":{"rendered":"
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\n \n Overview <\/p>\n <\/div>\n<\/section>\n\n
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Our U.S. regulatory and compliance offering is a true partnership with your in-house compliance function. From developing a compliance program tailored to your specific needs to maintaining it, we\u2019ll act as an extension of your compliance team, allowing you to leverage our expertise while maintaining efficiencies for our clients.<\/p>\n

Our team handles all U.S. regulatory registration requirements for the SEC, NFA\/CFTC, and FINRA. As part of our ongoing regulatory compliance services, our clients have access to our employees whenever they need practical, business-friendly advice. IQ-EQ performs a myriad of ongoing consulting services including quarterly review and testing of the compliance program, policy drafting, employee training, marketing material review and regulatory examination support.<\/p>\n

In addition, to ensure compliance with your Code of Ethics requirements, our clients have access to gVue, our proprietary software that automates and retains all Code of Ethics items and compliance policies.<\/p>\n <\/div>\n<\/section>\n\n

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Key services<\/h2>\n <\/div>\n<\/section>\n\n
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Project-based engagements<\/h3>\n