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United States
2020 (6 Years)
Last online: No recent activity
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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.
Get to know Heritage Compliance, LLC
Company Information
Get to know Heritage Compliance, LLC
Heritage Compliance, LLC is a professional consulting firm dedicated to assisting investment advisers with navigating the complex regulatory landscape. The firm offers a range of services designed to ensure compliance with SEC and state regulations, including mock SEC examinations, annual compliance program reviews, new adviser registration, and the development of customized compliance policies and procedures. Founded by experienced compliance professionals, their mission is to provide practical, effective, and tailored compliance solutions to help financial firms manage regulatory risk and maintain a strong culture of compliance.
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