A true measure of Regulatory Alliance's success is in the value we deliver to our clients.
It is incredibly rewarding for Regulatory Alliance to play a role in the birth of a new investment practice, provide support and guidance to an existing firm and then watch those firms succeed. Through the delivery of uniquely personalized professional efforts designed to assist our clients to advance their goals, Regulatory Alliance has forged an outstanding reputation for delivering results.
Ms. Dickinson is also available to assist investment advisers, attorneys, investors, brokers and E & O insurance companies in matters involving complaints, arbitration and litigation. Extensive experience with The United States Securities and Exchange Commission (SEC) Acts, state securities commissions, Financial Industry Regulatory Authority, Inc. (FINRA) and the Financial Services Authority (FSA) of the UK.
Let's discuss your needs.
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There is no charge for the initial consultation meeting.
Regulatory Alliance's services are normally relationship-based in that our clients engage our firm via a discounted retainer. Hourly services are also available for consultations and project-based services.
Please send us an email or give us a call at 231-242-4757and we'll set up a complimentary initial consultation to discuss your firm's needs and objectives. Based upon the information you provide, we'll design a personalized strategy for your review and consideration.
It's OK. Compliance topics tend to keep a lot of people up at night (or puts them to sleep). However, we're on your side and our services are confidential. We will carefully listen to your concerns and devise solutions. We are experts at putting investment professionals and their personnel at ease. Let us be your guide into a pleasant and productive conversation.
An effective compliance program does not have to be expensive but it is an invaluable investment in your practice.
The goal of a strong compliance program is to help bullet-proof your practice and build a strong, successful operation. In this light, an appropriate compliance program is far less expensive than downtime during extensive regulatory audits, regulatory sanctions, lawsuits / arbitrations, settlements and reputational costs associated with compliance failures.
More questions? Please give us a call at 231-242-4757.
We're always happy to answer your questions.
No judgments, just helpful information.
Clients gain an objective perspective from an experienced compliance analyst providing a candid, confidential evaluation of your firm's compliance status or the performance of an existing service provider.