RegComp Financial

Highly specialized compliance consulting firm dedicated to supporting lower and middle-market investment advisers, private funds, and broker dealers. We offer a comprehensive set of regulatory compliance, accounting, and monitoring services intended to help our clients with preventing, detecting, responding, and remediating negative examination findings, regulatory scrutiny, misconduct, and other prohibited acts. As former regulators and in-house senior staff, we understand the specific regulatory needs and critical policy issues relevant to PE/VC, RIAs, Hedge Funds, and Broker-Dealers. Get in touch with us at info@regcompfinancial.com to learn more about how we can be of great service to your company.