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Serving complex investment firms operating across the U.S. capital markets.
RegComp provides compliance advisory services to investment advisers, private fund sponsors, broker-dealers, and capital acquisition brokers operating within the U.S. capital markets. We support firms subject to oversight by the Securities and Exchange Commission, FINRA, state securities regulators, and other applicable authorities, including organizations operating through complex or cross-border structures. Our work draws on deep regulatory experience, including former regulators and senior in-house compliance professionals, combined with direct exposure to institutional trading, fund operations, and capital markets infrastructure. Clients engage us where regulatory expectations are exacting, supervisory posture is heightened, and compliance programs must withstand sustained regulatory review and examination. We assist clients in designing, implementing, and maintaining compliance programs aligned with regulatory expectations as applied in practice, supporting durability, defensibility, and long-term institutional credibility.
Built for examination scrutiny, regulatory judgment, and institutional standards.
From the point of registration, regulated firms operate within a supervisory framework defined by fiduciary obligations, disclosure accuracy, recordkeeping discipline, and effective oversight. Regulatory examinations are not episodic events. They are an extension of the regulatory environment in which investment advisers and broker-dealers operate continuously.
We support clients with a disciplined, regulator-informed approach to compliance program design, testing, and ongoing oversight. Our work emphasizes regulatory judgment, internal consistency, and documentation that reflects how firms actually operate. We assist clients in identifying gaps, responding to examination findings, and remediating issues in a manner designed to withstand supervisory review, regulatory inquiry, and formal examination. Our approach reflects how regulators evaluate compliance programs in practice—across policies, controls, supervision, and governance—rather than how programs appear in theory.
Senior-level engagement, continuity, and defensible execution.
We are intentionally structured to deliver sustained senior-level engagement, continuity of regulatory judgment, and disciplined execution over time. Clients work directly with professionals who have operated inside regulatory agencies and institutional environments and who understand how compliance decisions are evaluated by examiners.
We do not operate as a volume-driven compliance provider. Our work is selective, deeply engaged, and focused on matters where regulatory precision and institutional standards are required. Clients value direct access, informed judgment, and execution that holds up under examination, enforcement inquiry, and supervisory review. As regulatory expectations continue to intensify, RegComp serves as an extension of its clients’ compliance function, bringing experience, perspective, and regulatory credibility to the table when scrutiny is real and consequences matter.
