Parallax - Compliance Consulting

compliance consulting

Read our White Paper:

• Five Steps to Record Retention Compliance
by Michael Johngren

Helping firms of all sizes manage regulatory changes

There's little doubt that regulatory scrutiny is at an all-time high. Corporate scandals and investment fraud has led to a rash of investigations, fines, and bad publicity.

Parallax works with companies of any size to help avoid the reputational damage of non-compliance.

Financial Services Firms:
- Broker-Dealers
- Investment Advisors
- Hedge Funds
Pharmaceutical Companies

Investment Advisors

Parallax provides easily-adopted records retention programs and technology guidance to meet the needs of smaller investment advisors.

Record Retention for Brokers

SEC Rules 17a-3 and 17a-4 present a major challenge for mid-size broker-dealers, especially with the "WORM" requirement. Parallax can help.