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Call us to schedule a consultation today   (646) 981-8034

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Essential Edge Compliance Outsourcing Services, LLC

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Contact us to discuss
how we can help you.

Beth C. Barak
(646) 981-8034
beth@eefirms.com
Sander J. Ressler
(303) 594-8237
sander@eefirms.com
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Risk Testing

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We meet with clients to gain a first-hand understanding of their business model. Using a risk-based approach, our experienced consultants test and verify the effectiveness of the firm’s written supervisory policies and procedures and identify the areas that may pose the most significant risk. We advise on opportunities to address these areas.

Upon completion of the testing, we prepare a summary report that meets the annual reporting requirements of FINRA Rules 3120 and 3130.

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Contact us to discuss
how we can help you.

Beth C. Barak
(646) 981-8034
beth@eefirms.com
Sander J. Ressler
(303) 594-8237
sander@eefirms.com

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Essential Edge

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Essential Edge Compliance Outsourcing Services, LLC
Santa Fe County, New Mexico
(646) 981 - 8034
(303) 594 - 8237

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