Company Information

Get to know PT Compliance, LLC

PT Compliance, LLC is a professional services firm dedicated to providing comprehensive compliance solutions for the financial services industry. They assist a wide range of clients, including Broker-Dealers, Investment Advisers, and Futures & Swaps firms, in navigating complex regulatory landscapes. Their services cover initial registration with bodies like the SEC, FINRA, NFA, and CFTC, as well as ongoing compliance support, development of AML programs, and creation of tailored policies and procedures to ensure clients remain in good standing with regulators.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

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PT Compliance, LLC

United States

Founded in

2014 (12 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Markets.com

(326 reviews)

United States

2008

(18 years)

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This company is currently Unproved.

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License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.