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RegComp Financial

Houston, Texas, United States

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General Info:

RegComp Financial is a specialized compliance consulting firm dedicated to supporting lower and middle-market investment advisers, private funds, and broker dealers. As former regulators and in-house senior staff, we understand the specific regulatory needs and critical policy issues relevant to PE/VC, RIAs, Hedge Funds and Broker Dealers. We support those needs by active involvement on an outsourced basis. We work with our clients one-on-one to deliver exceptional results. Whether you need project-based work, or a fully scaled outsourced compliance solution, our professionals can provide you with the expertise you need, when you need it. 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 broker dealers and robo-advisers. How to Become a Client: 1. Schedule a Call 2. Receive a Customized Proposal 3. RegComp begins immediately executing on your urgent and ongoing compliance and accounting needs. 4. Our clients rest assured knowing they have a compliance partner that offers a comprehensive set of regulatory compliance, accounting and monitoring services intended to help them with preventing, detecting, responding, and remediating negative examination findings, regulatory scrutiny, misconduct, and other prohibited acts.

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