The Greico Compliance Review…Minimize Regulatory Risk

Proactive, Preventive, & Remedial

A strong customized compliance program is of paramount  protection to your firm .

The Greico Compliance Review is a program designed to detect regulatory issues and compliance challenges and create solutions for your firm. Once identified the Greico solutions are implemented. issues. .

  • The Greico Reviewer Process begins by conducting in depth interviews with your management team to get an intimate understanding of policies procedures, objectives and inner workings of your firm..
  • We develop a list of regulatory requirements specific to your firm.
  • In conjunction with management, we assess, plan, execute and achieve both current and ongoing compliance solutions.
  • Greico will assist you in creating an effective compliance program in accordance with the rules and regulations of Financial Industry Regulatory Authority (“FINRA”), the U.S. Securities and Exchange Commission (“SEC”) and , Self Regulatory Authorities (“SRO’s”).
  • We provide on-site compliance reviews and successful solutions to any compliance challenges complete with ongoing client support.
  • The Greico approach is built on delivering effective solutions.

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