Unwavering commitment to meeting our clients’ needs

Regulatory expectations continue to evolve. Examination standards remain exacting.

Registered investment advisers, private funds, and broker-dealers operate under a fiduciary and regulatory framework that demands disciplined compliance program design, implementation, and oversight. Firms are expected to maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws and to withstand regulatory examination.

Advising investment firms across private and registered markets

RegComp advises investment firms across the private and registered markets, including private equity, venture capital, real estate and hedge fund managers, fund-of-funds and secondary vehicles, as well as registered investment advisers serving institutional and individual investors. The entities we advise include SEC-registered investment advisers, exempt reporting advisers, state-registered advisers and internet advisers. Our clients are subject to regulation under the Investment Advisers Act of 1940, as amended, and oversight by the U.S. Securities and Exchange Commission, state securities regulators, FINRA and the National Futures Association, as applicable.

Ongoing compliance support designed for examination readiness

RegComp provides ongoing compliance support structured to integrate with a firm’s existing operations while maintaining independent oversight of compliance risk. Our model is designed to support continuous regulatory compliance, rather than point-in-time remediation. Engagements are structured on a recurring basis to provide consistent coverage, predictable scope and continuity of institutional knowledge. This approach allows firms to maintain an effective compliance program without building or expanding internal compliance infrastructure.