Investment Management Compliance Solutions

Established in 2001, IM Compliance offers a wide range of independent compliance and consulting services to mutual funds and investment advisors. With more than thirty years of mutual fund and adviser experience, Peter Guarino and IM Compliance offers a suite of customized compliance solutions and programs that you and your company can depend on.

A Win-Win Relationship

Our theory is that when you succeed, we succeed. We put our very best efforts into helping you stay current with SEC rules and regulations, best practices, and ultimately in full compliance. Regulation is a fact of life. We have a long track record of proven established compliance programs for funds and advisors. We provide the tools you need to learn about today's ever changing world of Mutual Fund and Advisor Compliance.

A Partnership

A partnership with us affords you the ability to continue to focus on your core business of investing, with the security and confidence that your Fund's or your firm's compliance responsibilities are being met.