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Compliance Matters

The principals of League Capital Markets founded the firm leveraging a deep background in compliance. Our sister company, Compliance Matters LLC, provides comprehensive advisory services to Broker Dealers and RIAs, helping with governance, risk, and compliance.

Compliance Matters operates separately from League Capital Markets, providing compliance expertise and guidance to help BDs and RIAs run their businesses, and navigate FINRA and SEC requirements.

Services Included:

  • New Member Applications

  • AML

  • WSP

  • CCO Services

  • FINOP Services

  • Continuing Ed
  • Email Review & Retention

  • FINRA Audit Support

  • SRO Registrations

  • Bookkeeping Services

Broker Dealers
  • Form ADV Part 1&2 Prep

  • Compliance Manual

  • Notice Filings

  • State Specific Regulations

Registered Investment Advisors
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