Company Information

Get to know Adherence Compliance

Founded in 2005, Adherence Compliance is a national regulatory compliance consulting firm that provides comprehensive, customized solutions to the financial services industry. The firm specializes in assisting broker-dealers, investment advisers, and private funds with developing, implementing, and maintaining robust compliance programs. Their services include ongoing compliance support, regulatory filings, mock SEC/FINRA examinations, anti-money laundering (AML) reviews, and cybersecurity consulting, delivered by a team of experienced professionals, including former regulators and chief compliance officers.

Industry

Financial Legal ServicePRIMARY
Financial Other Service
Technology Software Development

Contact

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Adherence Compliance

United States

Founded in

01 6月 2014 (12 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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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.

Markets.com

(326 reviews)

United States

2008

(18 years)

Security Information :

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Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

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.