Excellence In Compliance

Advisers are operating in a new regulatory world.

We are committed to working with you in building your business in a professional, expeditious, and cost effective manner.  Nye clients have the necessary policies and procedures, and they have the management systems to demonstrate compliance, and a compliance culture.

We can act as your "compliance staff" on an outsourced basis.  Our services include: evaluation of policies and procedures, implementation of procedures tailored to fit your business, monitoring of compliance procedures, staff training, and help with regulatory examinations.

The SEC has expanded its emphasis in compliance examinations to focus on: your compliance culture, presence of risk controls, and a more vigorous system of referral to enforcement.

We welcome the opportunity to discuss your objectives.

624 UNIVERSITY AVENUE

PALO ALTO, CA 94301-2019

Phone: 650-326-9335

Email: dave@nyecompany.com

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