While it's easy to point to over three decades of experience, we are more than that.The rest of the story is about our passion and diligent work ethic—intangibles that can't be financially measured but that truly make the difference to our clients.

We take a genuine interest in each client and make it a point to understand their stated needs and objectives in an effort to formulate the most appropriate solutions.

Beth Dickinson

Founder

Beth Dickinson has over 33 years of industry experience and is nationally recognized as a seasoned compliance expert and diligent researcher. Regulatory Alliance is an independent and referral-based compliance consulting practice that is entering its 20th year of operation.

Regulatory Alliance serves investment and legal professionals nationwide and overseas. Over the course of her career, Ms. Dickinson has worked with the following operations: SEC and state regulated investment advisers, broker-dealers, independent compliance firms, an investment company and attorneys. Services are private and confidential.

Regulatory Alliance (formerly Dickinson Regulatory Alliance) has been in operation since 1996.

Areas of Practice

  • Audit assistance, liaison between investment firms and regulators and preparation of audit responses
  • Policies and Procedures
  • Privacy, Code of Ethics and Red Flag Rules
  • Due diligence support
  • Marketing (compliance-related reviews as well as creative efforts)
  • Mock audits, practice management assistance and staff training
  • Panel expert for compliance-based conferences sponsored by regulators and professional associations