Founded in 2002, HCL Associates, Inc. is a consulting firm dedicated to serving broker-dealers, investment advisers, and other financial services companies. The firm specializes in navigating the complex regulatory landscape of the financial industry, offering expertise in areas such as compliance program development, FINRA New and Continuing Membership Applications (NMA/CMA), regulatory examination support, risk management, and anti-money laundering (AML) program reviews. Their mission is to provide expert, tailored guidance to help clients effectively manage regulatory obligations and strategic challenges.

Founded in

United States