Leading regulatory compliance consulting for lower and middle-market firms

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Developing, implementing and maintaining best in class compliance programs.

We are a specialized compliance consulting firm dedicated to supporting lower and middle-market investment advisers, private funds, and broker dealers. As former regulators and in-house senior staff, we understand the specific regulatory needs and critical policy issues relevant to PE/VC, RIAs, Hedge Funds and Broker Dealers. We support those needs by active involvement on an outsourced basis. We serve:

Investment Adviser
Private Equity
Hedge Fund
Venture Capital & Other Alternatives
Broker Dealer & Capital Acquisition Broker
Family Office
ABOUT US

Executing on your urgent and ongoing compliance and accounting needs.

We offer a comprehensive set of regulatory compliance, accounting and monitoring services intended to help our clients with preventing, detecting, responding, and remediating negative examination findings, regulatory scrutiny, misconduct, and other prohibited acts. Some of the key areas we cover include:

Initial Compliance Program Build-Out
Form Filings: ADV, Form D, 13H, U4, U5, etc.
Gap Analysis and Risk Assessment
SEC/FINRA Examination Support (Routine Audits)
Broker Dealer and CAB Registration
Daily Preparation and Reporting of Net Capital (15c3-1)
Independent AML Testing
Policy Procedure Design, Review, Enhancement, Monitoring
Projects - Annual Reviews, Controls Monitoring and Testing, Code of Ethics, etc.

Delivering exceptional results.

Our clients rely on our premier expertise, deep industry knowledge, and unparalleled responsiveness on complex compliance regulatory topics. Simply put, we deliver timely results that significantly benefit our client’s business.

We monitor developments in regulatory and compliance matters offering services to the following:

Investment Advisers

Our clients span asset managers, private equity and venture capital fund managers, hedge funds, and other investment alternative structures. From Form ADV assistance, Form D filings, 206(4)-7 Annual Compliance Reviews to SEC examination support, let us remove the burden.

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Broker Dealers

Whether you are starting a new broker dealer or require existing compliance support, we offer regulatory, compliance and accounting expertise. From FINRA examination support, Form U4, U5 Form CRS filings, to Rule 3130 Annual Compliance Reviews, let us remove the burden.

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Family Offices

RegComp has a dedicated team that services the specific needs of Family Offices. We offer a specific approach to the maintenance of a smart family office infrastructure. From Single Family Office (SFO), to Multifamily Office (MFO), and Corporate Family Office (CFO) we develop customized outsourced solutions for you.

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CFO and Controllers

We are focused on assisting with accounting, net capital monitoring and reporting of regulatory filings for registered broker dealers. We assist firms with everything from reviewing current accounting practices to Net Capital compliance and monthly and/or quarterly FOCUS Reports, as required.

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