SEC Compliance

At Stafford, we understand that other services are necessary for your company, so we act as your CCO to fit your needs.  Some CCO activities we provide are:

• Employee Training
• Summary Disclosures
• Recordkeeping for Trading Policies and Procedures
• Social Networking Policies
• Review all Advertising Policies
• Code of Ethics
• Annual Compliance Reviews
• Creat Compliance Calendar