What types of compliance support do you provide for money management firms ?
We help investment advisors, RIAs, and financial firms comply with [...]
Can you help us build or update our compliance program?
Yes. Whether you're launching a new firm or updating your [...]
Do you assist with Form ADV, CRS, and other required filings?
Absolutely. We support the preparation, filing, and annual updates of [...]
What operational areas do you support?
We help streamline day-to-day functions such as client onboarding, internal [...]
How do you help us stay ahead of regulatory changes?
We monitor updates from the SEC, FINRA, and state regulators, [...]
Can you support us during an SEC or state audit?
Yes. We provide pre-audit readiness reviews, document preparation, and direct [...]
Do you offer ongoing compliance support or just one-time services?
We offer both. You can engage us for project-based work [...]
What’s the first step to get started with Rouse Compliance Group?
Reach out to schedule a free consultation. We'll assess your [...]
