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.
Proposal
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 obligations, we deliver rapid and effective completion while providing assurance about the compliance program.
