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Regulatory audits are essential to ensure that organizations comply with the rules and regulations set by governing bodies. These audits protect the interests of consumers, investors, and the general public while maintaining a level playing field for businesses. There are several situations in which an organization might need regulatory audit...

Expert witnesses play a crucial role in various legal disputes by providing specialized knowledge and expertise in a specific field. Their testimonies can be pivotal in influencing the outcome of a case, helping juries and judges make informed decisions. The law requires the insights of an expert witness since not everyone understands everything,...

Most employees and even companies hate complaints. Rarely do people look forward to handing a customer who walks to the office or is on the line to submit a complaint. However, complaints are positive for any business since you cannot always meet everyone's expectations. But how do you handle a complaint to show a client your care and ensure...

You are looking to invest in a new venture and are at crossroads on whether to do it by yourself or with an advisor. The answer highly depends on who you ask and the type of investment you are having. While you can do it yourself, nothing beats hiring new advisor registration services for your business.

All securities sold in a specific state should be duly registered in that state as mandated by the 1933 Securities Act. The securities not liable for registration under the Act are sold by exempt issuers or registered at the federal level. When securities are sold through exempt transactions, their registration is not required. This is a relief...

While most cash-intensive businesses conduct legitimate businesses, there are various factors that make these businesses open to money laundering and terrorist financing. According to anti money laundering service provider, internal markets, cross-border transactions, and business transactions that are cash intensive may give room for money...

As long as you are in business, you are bound to experience customer complaints. Understanding the cause for concern and knowing your type of customers will help you deal with issues amicably. This will not only secure your sales but will also put your brand in the light for excellent client complaint handling services. To better understand how to...

A lot of people start new businesses every day. All they need to do is identify a product and establish a market, and they are already in operation. While registration with the national or local government is not a requirement, it has its benefits. If you were on a fence about new dealer registration, here is why you need it....

The SEC requires some company insiders, public companies, and brokers to file financial statements and disclosures periodically. Investors and finance professionals will evaluate these SEC filings to decide whether or not to invest in companies. One of the forms a securities compliance expert will help you to file is Form 10-K. This is an...

For any individual who has finally aspired to set up businesses for themselves, the New Year is the time to take a step of faith and get into firm ownership. Before you get started, engage compliance consultant service Toronto to help you navigate the complicated world of registration and compliance. Before signing up any company, ensure to ask...