Unwavering commitment to meeting our clients’ regulatory compliance needs

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Increased SEC Enforcement. Robust compliance solutions.

As former regulators and senior in-house staff we provide top-quality regulatory compliance solutions for lower and middle-market investment advisers and private funds. In 2021, we are seeing more robust examinations, particularly for private funds and managers that have never been examined.

Our clients rely on our expertise to develop and help implement regulatory policy; thereby mitigating risk, reducing costs, and gaining confidence in their compliance status.

1

We leverage our unique regulatory insights and tailor solutions to the specific requirements and needs of your firm. Our staff scans and monitors changes across all jurisdictions in the United States on a real-time basis, including enforcement actions and penalties issued by regulators. We pinpoint regulatory obligations and work to ensure that you meet each one.

2

We consistently monitor issues, regulatory obligations identified and help you focus on upcoming deadlines and developments to ensure your compliance program is running smoothly.

3

RegComp is not a traditional consultancy. We identify and solve issues with our clients helping you achieve compliance on an outsourced basis. We deliver extensive solutions to provide clients the compliance coverage they need to make their jobs more efficient. Our experts help ensure the appropriate changes to controls, policies and processes are adopted at the firm level.

4

Our outsourced solution is scalable and provides a key value to firms

Supporting the growth of Lower and Middle-Market firms.

RegComp serves a number of lower and middle-market organizations, including private equity, venture capital, real estate and hedge fund managers, fund of funds, and secondaries, as well as traditional registered investment advisers advising pension funds, separately managed accounts, wrap accounts, mutual funds, exchange traded funds and corporate investors, in addition to robo-advisers.

The entities we serve are classified as: Registered Investment Adviser (RIA), Registered Investment Company (RIC), Exempt Reporting Adviser (ERA), State Registered Adviser (State) and Internet Advisers (Robo Adviser).

We offer clients a simple cost effective, outsourced, ongoing compliance solution to mitigate any potential compliance deficiencies.

Additionally, we assist clients on an a la cart basis on issues under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 as well as various other regulations affecting investment managers, funds and financial product sponsors. 

We provide our Investment Adviser clients the most innovative offerings that help drive their business forward.

Customized Policies and Procedures
Tailored Compliance Calendar and Testing Matrix
Risk Assessment and Gap Analysis
State and Federal Filings (Blue Sky, FormD, Form 13F, 13H, etc.)
Comprehensive Form ADV (Part 1A, 2A, 2B,3, Supplemental Wrap Brochure)
State Notice Filing Analysis and Registration
Code of Ethics Management
Licensing and registration
Cybersecurity Policies and Procedures
Business Continuity Plan / Disaster Recovery
Routine Offsite Compliance Testing and Results Reporting
Annual Conflicts Inventory
Annual Review under Rule 206 (4) - 7
Regulatory Exam Support (FINRA, SEC, state regulators)
Political Contributions Review
OFAC (Watchlist) Checks
Accredited Investor Verification
FCPA Policies and Procedures and Governance
Advertising/Marketing Material/Investor Deck Review
Electronic Communications Review
Third Party Vendor Reviews and Due Diligence
Due Diligence Questionnaires (DDQ)
Compliance Reminders for Staff
Targeted Compliance Training

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