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REGULATORY SOLUTIONs FOR the independent minded investment professional. Our Definition of the Small and Mid Sized Investment Manager. AUM: $0 to $50 billion - STAFF SIZE: less than 50 - REGULATORY NEEDS: same as the big firms - BUDGETARY CONSTRAINTS: limited or defined by revenues - COMPLIANCE RESOURCES: Chief Compliance Officer (CCO) with little or no compliance staff - Lots of multitasking ALL DAY, EVERY DAY! SEC Mock Audit - State and Federal registration. Legal analysis and support. OUR WORKING PHIL...

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CONTACTS AT BOSTONCOMPLIANCELLC.COM

Tina Petruzziello

9 Jan●●●●●venue

Nort●●●●ding , Massachusetts, 01864

UNITED STATES

617 ●●●●9471
tp●●●●●●●●●●●@bostoncomplianceassociates.com

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Tina Petruzziello

9 Jan●●●●●venue

Nort●●●●ding , Massachusetts, 01864

UNITED STATES

617 ●●●●9471
tp●●●●●●●●●●●@bostoncomplianceassociates.com

View this contact

Tina Petruzziello

9 Jan●●●●●venue

Nort●●●●ding , Massachusetts, 01864

UNITED STATES

617 ●●●●9471
tp●●●●●●●●●●●@bostoncomplianceassociates.com

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REGULATORY SOLUTIONs FOR the independent minded investment professional. Our Definition of the Small and Mid Sized Investment Manager. AUM: $0 to $50 billion - STAFF SIZE: less than 50 - REGULATORY NEEDS: same as the big firms - BUDGETARY CONSTRAINTS: limited or defined by revenues - COMPLIANCE RESOURCES: Chief Compliance Officer (CCO) with little or no compliance staff - Lots of multitasking ALL DAY, EVERY DAY! SEC Mock Audit - State and Federal registration. Legal analysis and support. OUR WORKING PHIL...
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1 typical client profile
2 sample clients
3 sample services
4 compliance program development
5 contact us now
6 value add
7 our clients
8 circle of compliance
9 about us
10 service areas
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Home | bostoncompliancellc.com Reviews

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REGULATORY SOLUTIONs FOR the independent minded investment professional. Our Definition of the Small and Mid Sized Investment Manager. AUM: $0 to $50 billion - STAFF SIZE: less than 50 - REGULATORY NEEDS: same as the big firms - BUDGETARY CONSTRAINTS: limited or defined by revenues - COMPLIANCE RESOURCES: Chief Compliance Officer (CCO) with little or no compliance staff - Lots of multitasking ALL DAY, EVERY DAY! SEC Mock Audit - State and Federal registration. Legal analysis and support. OUR WORKING PHIL...

INTERNAL PAGES

bostoncompliancellc.com bostoncompliancellc.com
1

News

http://www.bostoncompliancellc.com/news.html

Professional organizations, government agencies. National Society of Compliance Professionals (NSCP). National Association of Financial Planners (NAPFA). Investment Advisor Association (IAA). North American Securities Administrators Association (NASAA). Hedge Fund Association (HFA). Risk Compliance Association (RCA). Managed Fund Association (MFA). Financial Advisor Magazine (FA). Securities and Exchange Commission (SEC). Financial Industry Regulatory Authority (FINRA). National Futures Association (NFA).

2

Service Areas

http://www.bostoncompliancellc.com/service-areas-1.html

We do not believe in pricing gimmicks that require you to pay more for "extra levels" of support. At Boston Compliance Associates we only have one level - ALL-INCLUSIVE. This is how Boston Compliance Associates is different from our competitors. We believe all investment managers need and deserve a comprehensive package of regulatory services customized for their business regardless of size, budget or location. Tina Petruzziello, Founder and Compliance Principal. Helping investment professionals find the...

3

About Us

http://www.bostoncompliancellc.com/about-us.html

Long term relationships are our foundation. As an extension of your team, we promise effective and knowledgeable solutions for you and your business. Our reputation and history of success with our clients and their business needs speaks for itself. There's no substitution for the best. CUSTOMIZED REGULATORY SOLUTIONS FOR THE INDEPENDENT INVESTMENT MANAGER. How we do it. Why we do it. Regulators do not discriminate. E take pride in knowing that our business model and pricing strategy provides access to co...

4

Talent

http://www.bostoncompliancellc.com/talent.html

Provides broker dealer compliance and operational consulting services that include FINRA broker-delear registration, FINRA Continuance in Membership Applications, Anti-Money Laundering (AML) Independent Testing, Rule 3012 Written Supervisory Policies and Procedures Testing, Regulatory Risk Assessment Reviews, prepare and conduct Annual Compliance Meetings, prepare Continuing Education for Firm Element and AML Training, Financial and Operational Consulting for Form BD, and Branch Office Audits. David is a...

5

Home

http://www.bostoncompliancellc.com/home.html

ACCESS TO COMPLIANCE AND LEGAL SOLUTIONS for Independent iNVESTMENT PROFESSIONALS. From start-ups to one-person shops to medium size established firms, we bring big company solutions to you at an affordable price. we provide small-business style. Service to all our client relationships - hands on & all inclusive. Your success is our business. Assisting clients navigate the regulatory maze while being aware and responsive to the challenges of growing your assets and client base. From start-up to maturity.

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REGULATORY SOLUTIONs FOR the independent minded investment professional. Our Definition of the Small and Mid Sized Investment Manager. AUM: $0 to $50 billion - STAFF SIZE: less than 50 - REGULATORY NEEDS: same as the big firms - BUDGETARY CONSTRAINTS: limited or defined by revenues - COMPLIANCE RESOURCES: Chief Compliance Officer (CCO) with little or no compliance staff - Lots of multitasking ALL DAY, EVERY DAY! SEC Mock Audit - State and Federal registration. Legal analysis and support. OUR WORKING PHIL...

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