Coast to Coast

Customized & Flexible Compliance Solutions

Headquartered in Chicago - Clients Coast to Coast
(312) 219-2929
info@c2ccompliance.com
Coast to Coast Compliance

The Firm

Coast to Coast Compliance is a securities compliance consulting firm providing a wide range of compliance consulting services for investment advisers (SEC-registered, state-registered, exempt reporting advisers, etc.), alternative asset managers (private equity funds, hedge funds, real estate funds, venture capital funds, etc.), broker-dealers, and other financial services organizations. 

Coast to Coast Compliance works with a diverse client base located across the United States, as well as some domiciled internationally, with regulatory assets under management ranging from several hundred million to several billion dollars.

In a constantly evolving regulatory environment, our mission is to enhance or otherwise build an exceptional and customized compliance program and to help cultivate a strong culture of compliance for our clients.

Whether regulator-driven, investor-driven, or otherwise, we develop carefully tailored client engagements, focusing primarily on project-based deliverables and various ongoing compliance pain points for SEC, CFTC, and FINRA regulated organizations.

If you have any questions about Coast to Coast Compliance or would like to know more about how we can help your firm, please reach out to us.  We are passionate about being a resource for our clients and are happy to help in any way that we can. 

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Coast to Coast Compliance

Why Coast to Coast Compliance

Coast to Coast Compliance is not your traditional compliance consulting firm. We provide an experienced, comprehensive, and independent perspective - all with some positivity and enthusiasm. We pride ourselves on the quality of our relationships and the ability to make a meaningful impact on our clients’ compliance programs and businesses overall.

  • Proactive Approach
  • Diverse Experience
  • Cost-Effective 
  • Practical Advice
  • Independent Perspective

Compliance is critical and it can be complicated, but it does not have to be chaotic. Our goal is to provide value by freeing up internal resources and allowing our clients and their personnel to focus on other aspects of the business, while we focus on those compliance functions they would like to outsource.

services

Comprehensive Compliance Solutions

Whether regulator-driven, investor-driven, or otherwise, we develop carefully structured client engagements, focusing primarily on project-based deliverables and various ongoing compliance pain points for investment advisers, alternative asset managers (private equity firms, hedge funds, real estate funds, venture capital firms, etc.), broker-dealers, business brokers, money services businesses, and other financial services organizations.

We are passionate about serving as a resource for our clients and are happy to help in any way that we can. If you have any questions about Coast to Coast Compliance or would like to know more about how we can help your firm, please reach out to us.

PASSIONATE ABOUT COLLABORATION

Strategic Compliance Partnerships

Do your clients need compliance services? If you are looking for practical compliance solutions for your clients or are interested in expanding your firm’s service offerings, we look forward to finding ways to strategically partner together to serve as a resource for your firm.

Recent Blog Posts

Recent Videos

Compliance Trainings (Firm Wide & Chief Compliance Officer Training)
December 19, 2020
Regulatory Exam Assistance
December 19, 2020

Upcoming Events & Webinars

We would like to thank you for your enormous efforts in getting us where we are now.  You really set the base for our organization and I am sure it is a strong and sound foundation to further build our company.  Besides a very professional and thorough approach, you are a great person to work with!

Global Asset Manager

ABC Law
Principal
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Associate
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ABC Law
Founder
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ABC Law
Principal
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ABC Law
Member
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