Compliance Services


To meet the ever-changing regulatory and compliance requirements of global exchange and OTC markets, LAI's consultants, working and independently or collaboratively, provide clients with focused compliance expertise over the full range of global markets and the full range of participating enterprises.


Investment Advisers


Hedge Funds


Broker-Dealer, Financial Institution and Industrial and Agricultural Enterprises


Broker-Dealer, Financial Institution and Industrial and Agricultural Enterprises




We can develop and implement the following compliance functions:

  • Broker Dealer Registration
  • Compliance Manuals
  • Compliance Consulting
  • Continuing Education Training
  • Quarterly Testing
  • Operational Reviews
  • Financial Institutions, Industrial and Agricultural Enterprises


    LAI has done work for domestic and foreign Financial Institutions, Clearing Houses, Exchanges and Government Agencies. Our expertise includes reconstruction of trading, new product analysis and industry best practices for operational and compliance programs.We keep abreast of business and regulatory developments and welcome the opportunity to work with you to address the compliance and operational issues that arise.


    Contact Us


    Associates, Inc.

    1373 Grandview Ave.
    Ste 216,

    Columbus, OH 43212-2804






    Copyright © All rights reserved. Site developed by the minds @ e3webmedia /