Leading regulatory compliance consulting for lower and middle-market firms

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How to become a client

Introductory Meeting

Our relationship begins with an introductory phone call to gauge your specific regulatory needs and discuss key risks specific to your business, long term objectives and tailored solutions.


RegComp proposes a customized solution designed to address challenges, deliver immediate solutions and ease the compliance burden, whether on a monthly or project basis.

Ongoing Compliance

For ongoing clients, we highlight potential compliance issues, deploy immediate compliance solutions and work together to ensure a solid foundation that promotes compliance with the federal securities laws.

Ad Hoc Compliance

For project-based clients we deliver urgent solutions. Our experts quickly pinpoint the need, whether it be regulatory audit assistance, compliance manual refresh based on new or ongoing obligations, we deliver rapid and effective completion while providing assurance about the compliance program.