Financial Industry Service Group LLC (“Finseg”) was formed in 2000 to meet the needs of participants in the financial services industry during a time of unprecedented change in our capital markets. The principals of the firm have over 60 years of regulatory and industry experience in the areas of broker-dealer, investment adviser, and SRO regulation, financial services legislation, and general securities compliance matters. In addition to extensive experience on a wide range of issues, Finseg maintains strong relationships with regulators and leading industry professionals.
Finseg provides regulatory consulting services to a broad clientele, including:
Over the years, Finseg’s engagements have covered many compliance topics as described briefly below.
Finseg offers competitive rates, prompt turnaround, and flexible working relationships. Please contact Finseg to help you meet the challenges presented by these dynamic times.