VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations. VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client's assets worry-free.
Due to the financial market turmoil and rapidly-changing regulatory structure, VCM is uniquely positioned to provide Advisors the insider knowledge as to how the current and future regulations will affect their firm and respective practice. Moreover, VCM will ensure Advisors have the appropriate firm structure to continue to be compliant with the applicable rules and regulations.
During a face to face or teleconference meeting, VCM will determine the compliance platform that will be the most efficient and cost effective for the entity in order to be compliant with Federal and State Regulations.
Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.