Unwavering commitment to meeting our clients’ needs

Increasingly complex examinations. Effective compliance solutions.

The Securities and Exchange Commission filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history. The financial remedies consisted of $6.1 billion in disgorgement and prejudgment interest, also the highest amount on record, and $2.1 billion in civil penalties, the second-highest amount on record. The SEC also received 45,130 tips, complaints, and referrals in fiscal year 2024, the most ever received in one year. “The Division of Enforcement is a steadfast cop on the beat, following the facts and the law wherever they lead to hold wrongdoers accountable,” said former SEC Chair Gary Gensler. In fiscal year 2025, the Division of Enforcement continues to vigorously enforce the federal securities laws by recommending to the Commission high-impact enforcement actions addressing noncompliance throughout the securities industry.

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.