REGSOLUTIONS GROUP
We have extensive experience with traditional finance firms in the past and if you need our assistance we can help. These services are typically offered through our wholly owned subsidiary, RegSolutions Group LLC.
Who we serve:
Compliance engagements with investment advisers, broker-dealers and other financial institutions. We offer project work through outsourced chief compliance officer roles.
Private Fund Managers: Whether you are launching your first or fifth fund we can assist with projects and ongoing compliance services.
Retail Advisers: Whether you are a Robo Advisor or brick and mortar financial advisory firm we have experience developing compliance programs for your Firm.
Broker-Dealers: We can help with retail broker-dealers and private fund solicitors meet FINRA regulatory requirements. We can provide principal roles (i.e. Series 24).