New service offering

Compliance Consulting Firm RegComp Financial Expands into Southeastern US



Autor: IreneValiente

  1. The impact of the pandemic on the securities market gave rise to a host of regulatory risks for market participants, increasing the need for compliance expertise and guidance
  2. Identifying an opportunity to assist prospective clients maintain market integrity, reduce "and perhaps, entirely avoid penalties", RegComp also launched a new service offering
  3. The firm has decided to expand into Florida in efforts to better service lower and middle-market investment advisers, private funds, and broker dealers in the Southeast