Bastt Consulting:
Flexible Compliance for a Changing World
Our Services
Fractional CCO
In today’s regulatory environment, maintaining a robust compliance program is crucial, but not every firm requires or can justify a full-time Chief Compliance Officer (CCO). That’s where Bastt Consulting’s Fractional CCO services come in—providing firms with on-demand compliance leadership tailored to their specific needs.
Our Fractional CCO solution offers experienced compliance oversight, ensuring your firm meets all regulatory obligations while maintaining operational efficiency. Whether you are a registered investment adviser (RIA) or a broker-dealer operating under FINRA or SEC regulations, we provide strategic guidance and hands-on support to help you stay compliant.
Interim Compliance Leadership
In the fast-paced financial industry, compliance leadership transitions can create uncertainty and operational gaps. Whether due to the unexpected departure of a compliance officer, a regulatory challenge, or organizational growth, maintaining a strong compliance function is critical.
At Bastt Consulting, we provide Interim Compliance Leadership solutions to help financial firms navigate these transitional periods with confidence. Our experienced professionals step in to provide immediate stability, ensuring your firm remains compliant, operationally sound, and well-prepared for regulatory scrutiny.
Regulatory Filing Assistance
Navigating the complex regulatory landscape of financial services requires precision, attention to detail, and deep knowledge of compliance obligations. Whether you’re a registered investment adviser (RIA) or a broker-dealer operating under SEC and FINRA regulations, ensuring accurate and timely regulatory filings is essential to maintaining good standing and avoiding penalties.
At Bastt Consulting, we provide comprehensive Regulatory Filing Assistance, helping firms manage their compliance responsibilities efficiently and with confidence. Our experienced compliance professionals guide you through the entire filing process, ensuring your submissions are accurate, complete, and aligned with regulatory expectations.
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