LDM Securities Consulting is a consulting firm providing regulatory, compliance and operational consulting services to broker-dealers and investment advisors. We assist broker-dealers and investment advisors of all sizes and types navigate through a constantly changing regulatory maze. We closely monitor regulatory developments and industry best practices.
Our mission is to assist our clients in creating a culture of compliance by developing compliance policies, procedures, controls, and training that ensures that our clients are complying with all applicable federal securities and futures laws, rules and regulations that governs their activities. We assist our clients in developing proactive compliance programs that prevent, detect and remediate potential rules violations and regulatory risk.
We are dedicated in protecting the reputation of our clients, effectively managing their risk and helping to advance our clients business. To achieve our mission, our consultants work with our clients on implementing programs and solutions that can be effective and efficient over the long term. We strive to exceed our clients' expectations on each assignment.
Company Details
- Employees
- 2
- Founded
- 2011
- Address
- 917 W. Washington Blvd, Suite 204, Chicago,il 60607,united States
- Industry
- Financial Services
- NAICS
-
Finance and InsuranceMonetary Authorities-Central Bank
- Keywords
- Proprietary Trading and Market Making, Direct Market Access and Sponsored Access, Self Clearing and Back Office, Risk Assessments and Independent Testing, Financial Reporting, Policies and Procedures, Compliance Training, Foreign Finders, Soft Dollar.
- HQ
- Chicago, IL
- Competitors
Ldm Securities Consulting Questions
Ldm Securities Consulting's website is http://www.ldmsecuritiesconsulting.com
Ldm Securities Consulting's LinkedIn profile is https://www.linkedin.com/company/ldm-securities-consulting
Ldm Securities Consulting has
2 employees.
View email and phone details for 2
employees at Ldm Securities Consulting.
Ldm Securities Consulting's industry is
Financial Services
Ldm Securities Consulting's categories are Financial Services
Ldm Securities Consulting's founding year is 2011
