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TORONTO COMPLIANCE

For Financial Services Firms, Payments Firms, Investment banks, brokers , MSB's in Canada, USA or any industry with a regulator.

 

Discover Our Expertise

Business Meeting
Business Meeting

INTRODUCTORY CONSULTATION

Discuss your compliance, AML, privacy or accounting needs and concerns

What is your firm concerned about.?

Are you just setting up and seeking registration with a regulator like OSC,  IIROC,  Fintrac or in the USA with Finra or others?

Or are you  firm that wants to shore up your compliance and prepare for an audit?

Or  have you learned of a compliance audit and need some help of staffing for the extra work.

SOLUTIONS SESSION

Expert Compliance and Finance Knowledge CCO's, CFO's

Experienced Chief Compliance Officer's and Chief Financial Officers plus AML. With an average of 20 years of experience, the staff has the capabilities and expertise to take your compliance to the next level - or off the ground if just starting out as a new firm. At Toronto Harbour Compliance, we combine our insights and skills to alleviate your compliance issues and process concerns.

Brainstorming

SERVICE

How we can help


Advice and help for start ups

New Firm registration with a regulator

New firm registration strategy

Independent Compliance Review (annual)

General Compliance

Compliance, legal opinion or interpretation

Compliance document completion

Fintrac, Anti Money Laundering rules for MSB's

Policies and procedures manuals and updates

Part-time, virtual  or Full-time CCO

Part-time, virtual  or Full-time CFO

Part-time Controller services

Anything requiring a CPA

Independent review committee member

Governance advice , governance structure

Board consulting, Board structuring 

Board member, external director 

Advisory Committee

Financings. Seed - Series A

 
Wall Street

WHO WE ARE

At Toronto Compliance, we understand that change is not always easy. Since 2000, we’ve been helping companies of all sizes respond to compliance and finance requirements and concerns. Our team has held roles as Chief Compliance Officer and Chief Financial Officer for firms in both start-up and complex financial environments (Canada +USA). 
Our team of experts is ready to help you develop strategies for not only surviving but thriving in the future. Give us a call or  email today to set up your first consultation.

 

CONTACT US

#1810- 350 Queens Quay West, Toronto, Ontario M5V 3A7

289-489-4032

 

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289-489-4032

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