About

Who We Are

At 3K Regulatory Consulting, we bring our clients over 35 years of experience in the financial services industry. We are dedicated to helping businesses achieve and maintain compliance with ever-evolving regulations. Our services are designed to address your unique compliance challenges and help your business grow in a highly regulated environment.

What We Do

Investment Adviser & Broker Dealer Compliance Programs
Policy & Procedure Development
Training Programs
Risk Assessment
Regulatory Exam Support
Board Best Practices
Marketing Review

Headlines

2025 SEC Examination Priorities https://www.sec.gov/files/2025-exam-priorities.pdf

AML Program Requirements for Investment Advisers

https://www.fincen.gov/news/news-releases/fact-sheet-anti-money-laundering-program-and-suspicious-activity-report-filing

SEC Examinations Risk Alert https://www.sec.gov/files/risk-alert-ia-risk-and-requesting-documents-090623.pdf

2024 SEC Examination Priorities

https://www.sec.gov/files/2024-exam-priorities.pdf

Contact Us

Better yet, see us in person!

Send a message via email to bdcomplyguy@gmail.com or via cell phone at 781.424.7019, and we will get back to you soon to schedule a consultation.

3K Regulatory Consulting

3909 Wynwood Circle, Highlands Ranch, Colorado 80126, United States

Email: bdcomplyguy@gmail.com Phone: 781.424.7019

Hours

Open today

09:00 am – 05:00 pm

3K Regulatory Consulting

3K Regulatory Consulting

Compliance Consulting with a Personal Touch

About

Who We Are

What We Do

Headlines

Contact Us

Better yet, see us in person!

3K Regulatory Consulting

Hours

Request A Consultation

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3K Regulatory Consulting

Compliance Consulting with a Personal Touch

About

Who We Are

What We Do

Headlines

Contact Us

Better yet, see us in person!

3K Regulatory Consulting

Hours

Request A Consultation

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