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compliance, risk, registered investment advisor, hedge fund, broker dealer, commodities, NFA, SEC, FINRA, OCC, Banking, RIA, international, regulation, consulting, bachtoldRetail & Institutional Investment Advisors Hedge Funds - Domestic and International Structured Finance Firms Federally Charted National Banks US Broker/Dealers International Off-Shore Funds & Special Purpose Companies Commodity Trading Advisors Commodity Pool Operators
We can assist your organization with every aspect of regulatory compliance risk mitigation, including individually tailored service engagements as well as ongoing operational support. In the event of a regulatory audit, we are available for advisory consulting and best in class compliance assistance, including resolution of noted findings and re-organizational counsel. We also offer a complete range of risk and compliance services, including Securities and Exchange Commission filing support, internal controls documentation and formalized testing programs. Consulting services may be utilized on-site or remotely with hourly and or monthly retainers available.
2008
FINRA
| MONDAY | : | 7:00AM | - | 5:00PM |
| TUESDAY | : | 7:00AM | - | 5:00PM |
| WEDNESDAY | : | 7:00AM | - | 5:00PM |
| THURSDAY | : | 7:00AM | - | 5:00PM |
| FRIDAY | : | 7:00AM | - | 5:00PM |
Business Description
We are a boutique financial services consulting firm located in Chicago, IL. The firm was founded by Paul Bachtold, a prior senior compliance professional with over 13 years of diversified investment management regulatory experience. Since our inception in April of 2008, we have been providing regulatory risk management and operational compliance controls for small to medium sized registered investment advisors, broker dealers and hedge funds.
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