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:
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:
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.
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.
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.
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.
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.
From broker dealer formations to implementation of supervisory controls and everything in between, RegComp Financial provides top-tier expertise and global coverage to advise at every stage of the broker dealer life cycle. We are a full-service provider for capital acquisition brokers and limited scope broker dealers.