Capital Markets Compliance

Capital Markets Compliance® (CMC) specializes in providing regulatory guidance for financial service firms that offer securities products, including but not limited to private placements, merger & acquisitions, full service brokerage and investment advisory services. CMC is known as a leader in compliance & accounting for financial service firms and a trusted advisor to the financial industry for more than 15 years.

CMC provides an array of compliance and accounting service solutions designed to help improve business performance. CMC delivers a comprehensive suite of services based on our clients’ individual needs, which includes assistance with regulatory membership applications, such as Broker-Dealer FINRA, SEC & MSRB and Investment Advisor State and SEC.