When you are in need of SEC compliance consultants in New York, NY, contact Compliance Matters. We have the years of experience and knowledge that you can depend on. We recognize that financial and operational compliance challenges are constantly growing. At Compliance Matters, we can use our expertise and knowledge to recognize and act on these challenges. So give us a call today and let us know what we can do for you.



Cities We




575 Madison Ave Suite 97

New York, NY 10022

Email: dmack@compliancematters.biz
Tel:  (212) 588-0580


8:00 AM - 7:00 PM

Monday - Friday




Are you a financial securities officer or broker who wants to make certain that your firm meets all SEC requirements? If so, and if you are in the New York, NY vicinity, give us a call today at Compliance Matters LLC. We are an experienced securities consulting firm. The government is strict when it comes to enforcing regulations that protect investors. Complying with the rules is mandatory. However, the rules can sometimes be difficult to interpret and contain several gray areas that may appear to be vague. This is why the role experienced SEC compliance consultants is important. As one of the most experienced compliance firms in the area, you can trust us to go over your company’s current compliance procedures to make sure all requirements are being fully met, and that there are no violations jeopardizing your company. We are committed to helping investment companies and professionals throughout the greater New York, NY area. 

At Compliance Matters LLC, we will help your company bring its compliance rules up to SEC standards or help you to establish compliance rules if none are extant at this time. When it comes to SEC compliance consultants, our exacting methodology is the reason we stand heads and shoulders above our competition. Having a strong compliance policy and essential SEC compliance training for investment advisors is mandatory. If you have been looking for an experienced securities consulting firm to make sure your compliance procedures are within SEC requirements, give us a call.

SEC compliance is important and the Commission has intensified its surveillance and policing of investment firms and advisors. When you are ready for a consultation, give us a call. Our offices hours are between the hours of 9:00 am to 7:00 pm, Monday through Friday. Allow us to help you to set your firm on the right footing.

New York, NY

© 2017 by Compliance Matters. Powered by gozoek.com