RegMaven Information

RegMaven’s services are built from the expertise it delivers to clients – sound compliance infrastructure. The principals at RegMaven have recognized that financial services firms today – specifically broker-dealers and registered investment advisors - are occasionally in conflict with their compliance departments regarding what can and cannot be done while operating a revenue generating enterprise. For this reason, RegMaven has built its compliance consulting services with the client’s business in mind; ‘Where Compliance Meets Business’. It is imperative that that these two core functional areas understand and appreciate one another; operating proficiently together, the business will achieve the vision of its principal(s). RegMaven facilitates this unification with the launching of a suite of services: 1) - SEC and FINRA Compliance Consulting, Exams, and Procedural Testing; 2) - Compliance Outsourcing and Support Services; 3) - Enterprise Valuation Business Assessment and Consulting; 4) - Financial Services Permanent / Contract Recruitment Our consultants work closely together with your team to build a unified culture where each business unit is working towards a common goal: growing in value being both profitable AND compliant. If you are interested in reviewing how well your enterprise is functioning, not entirely confident you have a secure understanding of your regulatory framework and are looking to improve the overall performance of your team and business, contact RegMaven to learn more about our suite of Compliance and Business consulting. We invite you to schedule a 30 minute no obligation discussion about your risks and concerns, “what keeps you up at night”. This can be on specific topic or in general. Visit www.regmaven.com to schedule.