Brookfield Compliance
Practical Compliance Support for Financial Firms
Why Choose Brookfield Compliance
Experienced Compliance Guidance
Our team understands the regulatory expectations facing financial firms and provides practical assistance based on real-world compliance experience.
Customized Compliance Support
Every firm has different regulatory obligations. We provide customized support based on your firm’s business model, requirements, and compliance needs.
Responsive Client Service
We provide direct communication and timely assistance when compliance questions arise.
Practical Compliance Solutions
Our recommendations are designed to help firms understand requirements, address compliance matters, and maintain appropriate documentation.
Regulatory Filings & Registration
We assist firms with registration requirements and regulatory filings, including SEC Form ADV amendments, state filings, and other required submissions to help maintain compliance with applicable regulations.
Learn More
Our Compliance Services
Brookfield Compliance provides support across key areas of regulatory compliance, including:
Compliance Programs & Reviews
We help firms develop and maintain compliance policies and procedures, Code of Ethics, annual compliance reviews, risk assessments, and testing of compliance programs.
Learn More
Regulatory Examination Support
We assist firms with regulatory examinations through preparation support, document reviews, compliance evaluations, and guidance throughout the examination process.
Learn More
Contact Brookfield Compliance
Have questions about your compliance program?
Contact Brookfield Compliance to discuss your regulatory needs and learn how we can support your firm.