Registration, CRD administration, compliance examinations, and written supervisory procedures — backed by 25+ years of regulatory experience protecting broker-dealers.
Financial Compliance Services
Edward Gregory and Associates, LLC is a trusted provider of financial compliance services backed by over 25 years of industry experience and all the necessary licenses to ensure regulatory adherence. Our team of dedicated advisors is committed to delivering unparalleled compliance, operational, and research services tailored to meet the unique needs of our clients.
Registration Services
We offer assistance in the registration process, guiding you through the intricacies of compliance requirements and ensuring a seamless registration experience for your firm.
CRD Registration
Our advisors specialize in CRD registration services, providing in-depth expertise to help you navigate the complexities of the Central Registration Depository system efficiently and accurately.
Compliance Examinations
Edward Gregory and Associates, LLC conducts thorough compliance examinations to assess your current practices and identify areas for improvement, ensuring that your operations meet regulatory standards.
Continuing Education Program
Stay ahead of the curve with our continuing education program, designed to keep your team informed about the latest developments in compliance regulations and best practices.
Other Annual Requirements
We assist in managing and fulfilling other annual compliance requirements, streamlining the process and alleviating the burden on your internal resources.
Anti-Money Laundering
Our team specializes in anti-money laundering (AML) services, providing comprehensive solutions to help your firm mitigate financial crime risks and comply with AML regulations.
Learn more about AML servicesInternational Equity Research Sales
Leverage our expertise in international equity research sales to expand your market reach and navigate the complexities of global compliance requirements with confidence.
Written Supervisory Procedures
Our tailored written supervisory procedures are designed to enhance your operational efficiency, providing clear guidelines that align with regulatory standards and best practices. At Edward Gregory and Associates, LLC, we are dedicated to excellence in financial compliance services, helping businesses navigate the regulatory landscape with precision and confidence. Contact us to learn how our tailored solutions can support your compliance needs and drive your business growth.