Our services
Advice and support
AML reviews and services
Mock audits and health check
Ongoing compliance Services
Staff compliance training
ESG compliance services
Regulatory reporting and filings
Marketing notifications and advertising reviews
Operational due diligence
Vendor due diligence
Secondments
Gap analysIs
Broker deal registration
CFTC registration and NFA membership
Investment adviser registration
Exempt reporting adviser services
Targeted forensic testing
Maintenance of policies and procedures
Investor due diligence support
Drafting of forms, templates and practice management tools
Electronic, expert network and buy-side communication surveillance
Code of ethics administration
Licensing and initial establishment
Internal audit and review services
Authorisation applications
Prudential advice
This document is provided for information purposes only and does not constitute legal, tax, investment, regulatory, accounting or other professional advice. For more information on the legal and regulatory status of IQ-EQ companies please visit www.iqeq.com/legal-and-compliance.