OrionConsulting.services
Toronto, Canada
Securities Compliance Consulting
REGULATORY COMPLIANCE EXPERTS
Consultants to brokerages and securities dealers
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OUR VALUE PROPOSITION
Trusted advisors in Dealer firm approval, compliance and supervision.
We are broker/dealer professionals experienced in accounting, finance and compliance, with ready access to expert opinions in law, information technology and data security.
We deliver performance and cost savings when you leverage our diversified experience to set up your Dealer firm with an effective compliance system.
We can help you develop a system of controls and supervision that enables your Dealer firm to comply with securities law and manage the risks associated with your business.
CONSULTING WITH PURPOSE
Laser focused, outcome driven.
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We assist applicants with their Exempt Market Dealer registration, and Investment Dealer registration as well as IIROC membership approval..
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We advise securities registrants on their supervision and risk-management procedures to comply with regulatory requirements.
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We support crypto asset tradingplatforms with their transition to a regulated environment.
CONSULTING SERVICES
Experience. Expertise. Insight.
Do you need help with a specific task such as a part-time CFO, registration or one of our additional services?
Take a look at the list of our services below, and contact us if you have any questions or special requests.
Path to Success
Learn how we can help your firm register as an Exempt Market Dealer or IIROC-regulated Dealer Member and your employees get licensed and approved with regulators to carry out their registrable activities.
Expert Guidance
We advise firms on how to tailor their financial operations, compliance, supervision and risk-management procedures to their business models in compliance with regulatory requirements.
Comprehensive Approach
We closely monitor the announcements from the Canadian Securities Administrators regarding the latest crypto asset trading platform decisions to advise crypto platform operators.
Email us to learn how we can assist you with each one of these services.