Regulatory Compliance, LLC (RC) f/k/a Broker Dealer Compliance has been assisting broker-dealers and investment advisors with industry-critical compliance responsibilities since being founded in 1989. Nationally known, Regulatory Compliance continues to provide products and services to thousands of firms in the financial services industry.
Regulatory Compliance is recognized for our personal relationships with clients, proactive approach, and immediate response to regulatory mandates. By maintaining a close relationship with regulators our experienced compliance professionals have contributed to the growth, know-how, and future of compliance consulting.
Staff Background
Collectively our staff is comprised of highly-trained licensed professionals including Certified Public Accountants, General Securities Principals (Series 24), Financial and Operations Principals (Series 27), Municipal Securities Principals (Series 53), and Investment Advisors (Series 65). In addition, our long-standing Securities Advisory Board includes a network of experienced securities attorneys and professionals trained in the securities industry.
Regulatory Compliance provides a diverse line-up of services to broker-dealers and investment advisors:
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Firm Element Training
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Compliance Manuals (supervisory procedures, anti-money laundering, business community, CE training)
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Compliance Audits
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Accounting Audits
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Broker Dealer FINRA and State Registrations; Investment Advisor SEC and State Registrations
Regulatory Compliance recognizes that these disciplines, routine but vital, place large demands on the time—thus the profitability—of our clients. We enable you to focus on your business purpose instead of the operational mechanics by overseeing the more time-consuming, detail-intensive processes such as the preparation and filing of required reports and registrations, and ensuring that various compliance issues are addressed in an expert and timely manner.