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Advisors, Beware! Examiners Are Watching Ever More Closely
Friday, April 22nd, 2016
"SEC and states stepping up their communications is a double-edged sword for RIAs, says Kelli Haugh of NCS."

National Compliance Services and Regulatory Compliance join forces to form full-service compliance consulting powerhouse
Press Release - Tuesday, October 27nd, 2015
"NEW YORK /PRNewswire/ -- National Compliance Services Inc. (NCS) and Regulatory Compliance LLC, two of the nation's longest-serving regulatory compliance consulting leaders, announced today they have signed a definitive agreement to merge. This strategic combination creates a single source of compliance consulting services and solutions for registered investment advisers (RIAs), broker-dealers (BDs), hedge funds and other financial services clients..."

Compliance Conference to Provide Valuable Regulatory Insights
Press Release - Tuesday, June 2nd, 2015
"BOSTON /PRNewswire/ -- The regulatory climate continues to change and securities firms are experiencing more risk-based scrutiny from regulators requiring firms to foster a new understanding of compliance. Regulatory Compliance has opened ..."

B-Ds making sure their background check systems measure up
IAWatch - Thursday, February 5th, 2015
"Many small B-Ds will have to strengthen checks of registration applicants under an SEC-approved FINRA rule that goes into effect July 1. And though the rule only covers first-time applicants and transferees experts recommend checking everybody. The rule aims to strengthen the requirement ..."

Cyber-Security Conference to Identify Financial Services Industry Risks
Press Release - Tuesday, Sept 16th, 2014
"NEW YORK /Globe Newswire/ -- Does your financial services firm know where its data is? With 78 percent of organizations experiencing a data breach during the past two years, according to TrendMicro, hedge funds, private equity firms, investment advisers and broker-dealers are at particular risk for a data breach. Cyber criminals go where the money is..."

Financial Advisors Cybersecurity Risks: Aponix Financial Technologists Comments on NASAA Survey
Press Release - Monday, Sept 15th, 2014
"NEW YORK /Globe Newswire/ -- Aponix Financial Technologists applauds the North American Securities Administrators Association (NASAA) for conducting their recent cyber-security survey of small investment advisors. The results of this survey indicate a number of misconceptions of cyber-security risks and terminology by small investment advisors, and a lack of awareness of their own cybersecurity incidents..."

Regulatory Compliance Announces Expansion of New York Office and Team
Press Release - Friday, May 16th, 2014
"NEW YORK /PRNewswire/ -- Regulatory Compliance is expanding its reach to broker-dealers, investment advisers, hedge funds and private equity firms with the addition of Evan Ignall, Director, to lead its New York office. Ignall brings more than 25 years of experience in the financial services industry to Regulatory Compliance and its clients. Previously, Mr. Ignall was the founding partner of S.D. Daniels and Company's regulatory services practice and served as chief compliance officer for prominent broker-dealer clients...."

North American Professional Liability Insurance Agency (NAPLIA) and Regulatory Compliance Announce Strategic Alliance
Press Release - Saturday, May 17th, 2014
"Framingham, MA -- Exclusive Program Provides Broker-Dealers and Investment Advisors Compliance Expertise and Reduced Professional Liability Insurance Costs. North American Professional Liability Insurance Agency LLC (NAPLIA) and Regulatory Compliance LLC have formed a strategic alliance program for registered investment advisors and broker-dealers offering compliance services and resources in tandem with reduced costs on professional liability (errors and omissions) insurance...."

Regulatory Compliance Announces Angell Pension's Jeffrey Bauer as Partner
Press Release - Wednesday, March 5th, 2014
"BOSTON /PRNewswire/ -- Jeffrey Bauer, president of Angell Pension Group, a national leader in third-party pension plan administration and compliance, has become a partner at Regulatory Compliance, a national leader in providing comprehensive broker-dealer and investment adviser compliance services. This partnership will give clients access to the extensive compliance expertise and resources of both firms. Angell Pension Group is headquartered in Providence, Rhode Island, and Regulatory Compliance has offices in Boston, New York City and southern New England...."

RC Unplugged Conference to Provide Valuable Regulatory Compliance Insights
Press Release - Monday, December 4th, 2013
"LONDONDERRY, N.H., /PRNewswire/ -- As the regulatory climate has changed post-Madoff, securities industry firms can expect more risk-based scrutiny from federal and state regulators, instead of check-the-box regulatory reviews. This change in regulatory approach requires a new understanding of compliance, the focus of the Regulatory Compliance Unplugged conference planned for June 23-24 at the Boca Raton Resort & Club in Boca Raton, Florida...."

Helping RIAs Handle Compliance, Operations
Financial Planning - Friday, September 14, 2012
"RIAs who want to own their own wealth management shop face two major challenges, over and above giving investment advice: They must comply with all the rules and regulations while also running an operating business....."

Regulatory Compliance & Dynamic Wealth Advisers Launch New Client Service
Press Release - Monday, September 10, 2012
"Boston, MA - Regulatory Compliance, LLC, a leader in products and services for Securities Broker Dealers and Registered Investment Advisers, in affiliation with Dynamic Wealth Advisers, an RIA practice development firm, launched Going Independent, a comprehensive turnkey Investment Advisery platform for the Independent Registered Investment Adviser...."

Regulatory Compliance Adds Partner Program
AdviserOne - Wednesday, August 8, 2012
"Regulatory Compliance has introduced a service intended to streamline service offerings for clients in a clear, logical manner so that they can stay on top of regulatory deadlines and filings. The firm, which provides consulting and compliance offerings for broker-dealers and RIAs, says that the new program, available in several different levels, can be tailored to fit each company’s compliance program needs...."

COMPLY-The perils of turning a blind eye
Reuters - Tuesday, July 24, 2012
"Ignoring a key adviser's questionable behavior can be a comfortable path for supervisors at securities firms, especially in a small, chummy office. Just expect it to end badly. In fact, looking away can leave indelible blotches on your resume and even become a career-ending mistake, as a former investment advisory compliance officer and principal are learning...."

Top Compliance Concerns From RCA: Pay-to-Play, Form PF, Social Media
AdviserOne - Thursday, March 29, 2012
"Fresh off starting their new positions at Regulatory Compliance Associates, Craig Moreshead and Lori Weston have zeroed in on three issues they should be on advisers’ radar screens: the Securities and Exchange Commission’s pay-to-play rule and Form PF as well as the use of social media...."

Regulatory Compliance Opens a New Boston Office
Press Release - Wednesday, October 26, 2011
"Regulatory Compliance, LLC, a leader in products and services for Securities Broker Dealers and Registered Investment Advisers, is pleased to announce that it has expanded and opened an additional office...."

Post-Madoff: How the Securities Regulatory World Is Changing
Press Release - Thursday, April 1, 2010
"In the wake of the Bernie Madoff investment scandal and other financial scandals, regulatory changes are on the horizon for investment advisers, hedge fund managers, money managers and broker-dealers..."

Compliance Brings Cost, Controversy and Opportunity
Mass High Tech  - Friday, July 24, 2009
"Regulatory Compliance managing member Stephen Sussman, a major problem for many companies is the scope of the regulations..."

Londonderry Man Works to Help Madoff's Scam Victims
The Londonderry Times  - Thursday, July 2, 2009
"It's still an amazing thing to me: I keep pinching myself," Stephen Sussman said, "But I'm here in the middle of this whole thing, even though I'm right here in Londonderry, New Hampshire..."

NH Victims Of Bernie Madoff React to Sentencing
WMUR TV  - Wednesday, July 1, 2009
Stephen Sussman of Regulatory Compliance LLC and NH Victims Of Bernie Madoff React to Sentencing...

NH firm aids sale of part of Madoff's company
The Nashua Telegraph  - Wednesday, July 1, 2009
Stephen Sussman of Regulatory Compliance LLC in Londonderry worked on the sale of Bernie Madoff’s once-legitimate company...

Local CPA Lands Madoff Sale
The Concord Monitor  - Wednesday, July 1, 2009
Stephen Sussman of Regulatory Compliance LLC in Londonderry worked on the sale of Bernie Madoff’s once-legitimate company...

Londonderry CPA at center of Madoff asset sale
The Sunday Eagle Tribune  - Sunday, June 21, 2009
For the past 20 years, Stephen Sussman has run a company in Londonderry that specializes in navigating the complicated world of federal compliance rules and regulations...

Sale Is Cleared for Legitimate Part of Madoff Firm
The Wall Street Journal  - Saturday, June 13, 2009
Finra's blessing means Castor, of Medfield, Mass., will be able to complete its $25.5 million purchase, which was announced in April, according to Stephen Sussman...

Deal closed for ex-Madoff trading unit
Alibaba News Channel - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining...

Local buyers to reopen Madoff brokerage in NYC
Boston Globe - Beth Healy - Thursday, June 18, 2009
... based on the business's revenues, according to Stephen J. Sussman, the firm's financial officer at Regulatory Compliance in Londonderry, NH.

Ex-Madoff trading unit deal closed
The Dominion Post - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Ex-Madoff trading unit deal closed
Stuff.co.nz - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
Forbes - Grant McCool, Lisa Von Ahn - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
Reuters India - Grant McCool - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
Reuters - Grant McCool, Lisa Von Ahn - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
Interactive Investor - Grant McCool, Lisa Von Ahn - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
guardian.co.uk - Grant McCool, Lisa Von Ahn - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
Forex Pros - Grant McCool, Lisa Von Ahn - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...

Deal closed for ex-Madoff trading unit
Forexyard - Grant McCool, Lisa Von Ahn - Thursday, June 18, 2009
Stephen Sussman, a managing member of Regulatory Compliance LLC, a firm that worked on the deal's details, said it involved hundreds of hours examining ...