Unwavering commitment to meeting our clients’ needs

Increasingly complex examinations. Effective compliance solutions.

The Securities and Exchange Commission obtained orders for $4.95 billion in financial remedies in fiscal year 2023, the second highest amount in the SEC’s history. The financial remedies comprised $3.37 billion in disgorgement and $1.58 billion in civil penalties. Both the disgorgement and civil penalties ordered were the second highest amounts on record. In addition, the SEC filed 784 total enforcement actions, a 3 percent increase over the prior fiscal year. The SEC’s Division of Enforcement will continue to aggressively employ all of its tools to protect investors and promote market integrity in fiscal year 2024.

Private fund advisers, including hedge fund managers, private equity fund managers, venture capital fund managers, credit fund managers and secondaries transactions, among others, should navigate the regulatory environment with precision and deploy strong compliance programs and cultures throughout the organization. Our clients rely on our expertise to develop and help implement policy; thereby mitigating risk, reducing costs, and gaining confidence in their compliance status.

Supporting the growth of lower and middle-market firms

RegComp serves a number of lower and middle-market organizations, including private equity, venture capital, real estate and hedge fund managers, fund of funds, and secondaries, as well as traditional registered investment advisers advising pension funds, separately managed accounts, wrap accounts, mutual funds, exchange traded funds and corporate investors, in addition to internet advisers.

The entities we serve are classified as: Registered Investment Adviser, Registered Investment Company, Exempt Reporting Adviser, State Registered Adviser and Internet Advisers, otherwise known as Robo Advisers, and are regulated under the U.S. Securities and Exchange Commission pursuant to the Investment Advisers Act of 1940, as amended, Financial Industry Regulatory Authority, various state security regulatory boards and National Futures Association, among others.

We offer clients a simple cost effective, outsourced, ongoing compliance solution to mitigate any potential compliance deficiencies

Additionally, we assist clients on an a la cart basis on issues under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 as well as various other regulations affecting investment managers, funds and financial product sponsors.