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Registered Investment Advisor

We recognize that some are new to the Regulatory world and are struggling with the applicability of SEC Rules and Regulations.. RegMaven will design a series of sessions that will help you understand the regulations as they pertain to your firm. Together we will design a compliance program that will meet your business model and your regulatory requirements. Our services include:

o Outsourced CCO
Compliance Risk Assesment
Regulatory Exams and Testing
o 206(4)-7 Annual Testing
o Books & Records
o FINRA/SEC Mock Exam
o Specific client designed exams

RegMaven understands the challenges of preparing budgets in order to meet your regulatory obligations as well as the workload of your compliance team. We have designed 1 and 2 year compliance programs at fixed prices which are designed to assist you with the costs and workload of operating a compliant department. Each program is unique to your budget and resources.

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