Aequitas Compliance Solutions, Inc. is a specialized consulting firm providing comprehensive compliance services tailored for broker-dealers and investment advisers. The company focuses on creating long-term partnerships with its clients, offering expertise and responsive support to help them navigate the complex and evolving regulatory landscape. Its core services include ongoing compliance program support, assistance with FINRA New Membership Applications (NMA), cybersecurity policy development, outsourced Chief Compliance Officer (CCO) functions, regulatory exam support, and independent Anti-Money Laundering (AML) testing.

Founded in

United States