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Our Approach

Our Approach

Our Approach

Turnkey Compliance Programs

Turnkey Compliance Programs

Turnkey Compliance Programs

We build robust, regulator-ready compliance programs from the ground up,
tailored to your business model and risk profile.


End-to-end compliance infrastructure tailored to the regulatory expectations of financial institutions. Designed for scale. Aligned with oversight. Deployable across jurisdictions.

We build robust, regulator-ready compliance programs from the ground up, tailored to your business model and risk profile.

End-to-end compliance infrastructure tailored to the regulatory expectations of financial institutions. Designed for scale. Aligned with oversight. Deployable across jurisdictions.

SEC Investment Advisers Act of 1940 Compliance

Broker-dealer Setup (incl. FINRA readiness)

Sanctions Screening & OFAC Controls

Internal Policies & Procedures

Code of Ethics, KYC, Onboarding Workflows

Investment Company Act of 1940 Compliance

AML Program Design (BSA/AML, FinCEN, FATF-alignment)

Risk Assessments

Regulatory Frameworks (SEC, CFTC, FINRA, FCA, MFSA, ect.)

We build robust, regulator-ready compliance programs from the ground up, tailored to your business model and risk profile.

End-to-end compliance infrastructure tailored to the regulatory expectations of financial institutions. Designed for scale. Aligned with oversight. Deployable across jurisdictions.

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WHAT WE DO

Taft does not provide legal advice. Content is for informational purposes only and subject to regulatory guidance.

Compliance, clarity & risk systems tailored to real-world financial pressure. © 2025 Taft Compliance Group. All rights reserved.


Taft does not provide legal advice. Content is for informational purposes only and subject to regulatory guidance. Compliance, clarity & risk systems tailored to real-world financial pressure.

© 2025 Taft Compliance Group.

All rights reserved.