Compliance

Compliance services ensure organizations meet regulatory obligations across federal banking rules, securities regulations, consumer protection standards, and fiduciary requirements. eDelta provides comprehensive support spanning broker-dealer operations, investment management, trust services, and banking regulations, helping clients navigate complex and evolving regulatory landscapes.

eDelta's compliance professionals bring expertise from federal agencies, financial institutions, and specialized compliance divisions. We deliver policy development, regulatory gap assessments, examination preparation, and ongoing monitoring - providing specialist depth with full-service breadth to keep you ahead of regulatory expectations.

Our Compliance Practice Includes:

• Broker Dealer Compliance
• Trading Compliance
• Consumer and Commercial Compliance
• Registered Investment Advisor Compliance
• Investment Company Compliance
• Trust Compliance
• Bank Compliance