Let the SFC Team Take the Compliance Burden off your Plate

Who We Serve

Go to Broker-Dealers

Broker-Dealers

Broker-Dealers, whether large or small, domestic or international, are all similar in many respects: They face ever- increasing challenges in the current business and regulatory environment and, regardless of size or business lines, they need to…Read More

Go to Investment Advisors

Investment Advisors

The cost of your firm’s Compliance, Legal, Operations, and Sales personnel and attendant technology and outside vendor support, depending upon the size of your registered investment adviser and the number of IARs and support staff…Read More

Go to Law Firms

Law Firms

Our clients within the legal community have discovered the value of augmenting and reinforcing their firm’s resources and expertise in response to the specific needs of their clientele. When a particular client or case requires…Read More

Go to Private Funds

Private Funds

As investors continue to watch closely hedge fund performance and fees the regulatory challenges facing hedge funds have intensified dramatically. Hedge funds used to be far less regulated. However, with the implementation of new regulations…Read More

Go to Insurance Companies

Insurance Companies

We recognize that the regulatory and compliance challenges facing life insurance companies and their agents and advisors have increased and intensified dramatically in recent years. For example, insurance companies that have broker-dealer and/or investment adviser… Read More

Go to Banks

Banks

The banking industry is faced with a number of strategic challenges, and contending with the changing and uncertain compliance and regulatory environment is certainly prominent among them. In the past, in an effort to meet increasingly rigorous regulatory and compliance pressure from a multiplicity of regulators…Read More