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Regulatory Compliance, LLC
www.RegulatoryCompliance.com
Regulatory Compliance, LLC has been serving the financial services community since 1989. The founding member, Stephen J. Sussman, CPA is a former NASD Senior Examiner serving in both the New York and Boston district offices and currently maintains his Series 7, 63, 24 and 27 licenses. Subsequent to working for the NASD Mr. Sussman was a Senior Accountant at KPMG.
Since 1989, Regulatory Compliance, LLC (RC) has assisted broker dealer (BD) and investment advisor (IA) firms in meeting regulatory requirements. Regulatory Compliance's specialists have effectively completed several thousand branch, OSJ, and home office examinations to assist broker-dealers in completing their inspection requirements under NASD Rules 3010 (Supervision), 3012 (Supervisory Controls) and FINRA Rule 3310 (Independent AML examinations). In addition, RC conducts Mock FINRA and SEC examinations to prepare both BD and IA firms for regulatory examinations. These consultative reviews are designed to identify areas of improvement around the firm’s policies & procedures, internal controls, and recordkeeping practices in order to be best prepared for regulatory visits and avoid potential findings, enforcement actions, and/or possibly fines.
Our clients are located throughout the United States, Canada, and the UK. Many clients are affiliated with banks, insurance companies, and BD firms. Some of our larger clients maintain several hundred to thousands of locations and are publicly traded companies.
Highly trained licensed professionals
Our regulatory compliance services are handled by a staff with extensive experience and knowledge in a wide range of areas within the securities field. These seasoned professionals include CPAs, General Securities Principals (Series 24, Series 26), Financial and Operations Principals (Series 27), Investment Advisors (Series 65/66), former SEC and State regulators as well as CFA’s. The knowledge of our team, in addition to our network of securities attorneys and other industry professionals, gives our clients access to extensive regulatory compliance support through a single firm.
Efficient, professional compliance solutions
Meeting securities compliance regulations and deadlines can be a challenging task, especially for firms without a full-time compliance officer. With Regulatory Compliance acting as a firm's compliance back office, broker dealers and investment advisors can focus on serving their clients, while we concentrate on regulatory details and deadlines. Services can be completely customized to a firm's needs, including accounting, compliance manuals, mock examinations, training and compliance consulting, and more. Outsourcing these tasks to Regulatory Compliance gives your firm access to the vast expertise of an experienced compliance staff.
A legacy of proactive, client-focused service
Our compliance specialists actively stay current with the latest securities regulations to keep clients continually informed on regulatory issues. Clients receive ongoing regulatory updates, filing deadline reminders and requests for reporting information to allow us to make accurate and timely filings on their behalf. Regulators trust the accuracy and thoroughness of our regulatory filings, and welcome our independent inquiries on behalf of our clients regarding regulatory matters. Regulatory Compliance provides the reassurance and confidence that comes with trusted, highly respected regulatory compliance services.
Experienced client-focused accounting and FINOP assistance
Broker dealer financial requirements are complex, requiring sophisticated knowledge. Errors can cost a firm in numerous ways—from fines to censure to closure. Our staff includes CPAs and Financial and Operations Principals (FINOPs) with vast financial expertise and knowledge of compliance regulations. Our complete FINOP services include monthly or quarterly preparation and electronic filing of FOCUS reports, careful attention to monthly net capital computations.
Industry Affiliations
Regulatory Compliance, LLC is a highly regarded firm in the financial services industry. Our compliance professionals are proud members of the Securities Industry Financial Markets Association (SIFMA), Association of Certified Anti-Money Laundering Specialists (ACAMS), National Society of Compliance Professionals (NSCP), and New England Broker/Dealer and Investment Advisor Association (NEBDIAA).
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