Keeping up with the myriad changes in governmental regulations is a daunting task for any company, but failing to comply, for any reason, can have serious and costly consequences.

Our Compliance Division, Elaine P. Dine Compliance, provides clients with an important resource to ensure that their procedures, documentation and policies conform to constantly-changing legislative and regulatory changes. For example, the Sarbanes-Oxley Act of 2002 has had an enormous impact on the corporate governance, audit procedures and financial disclosures of more than 15,000 public companies.

Our experienced compliance professionals come from a wide range of industries, including banking, broker/dealer, financial, hedge fund, insurance, mutual fund, pharmaceutical and securities. They have all requisite licenses, such as Series 7, Series 24 and Series 63, and perform compliance-related functions in a variety of areas, including:

Anti-Money Laundering Asset Management Branch Audits Customer Complaints E-mail Review ’40 Act

Marketing Review Patriot Act Regulatory Response Rule 411 Sarbanes-Oxley Act Surveillance

We provide compliance professionals on both a permanent and temporary basis.