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

 

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