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.

Our Services

  • Seasoned regulatory compliance professional
  • Uniquely personalized consultation services
  • Professional drafting of complex regulatory documents and compliance materials
  • Initial registration and amendments, ongoing compliance support and reporting (ADV, U4, U5, 13F, etc.)
  • Audit assistance, liaison between investment firms and regulators and preparation of audit responses
  • Compliance and risk management reviews, assistance with forensic testing and related reports
  • Policies and Procedures
  • Privacy, Code of Ethics and Red Flag Rules
  • Mock audits, practice management assistance and staff training
  • Due diligence support
  • Marketing (compliance-related reviews as well as creative efforts)
  • Practice management issues
  • Panel expert for compliance-based conferences sponsored by regulators and professional associations
  • Expert witness / Litigation support

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.

Services For

  • Registered Investment Advisers
  • Adviser Representative, Officer / Member Terminations
  • Registered Representatives (broker / dealer)
  • Investors / Complaints
  • Rule violations
  • Fiduciary duty
  • Securities brokerage
  • Forensic reviews for fraud, theft, material omissions, trading, and sales practices / misrepresentation
  • Focused research and litigation support
  • Registered and unregistered firms / securities
  • Arbitration / litigation associated with Member and Representative terminations cause
  • Litigation / Arbitration support for errors & omissions coverage providers
  • Largest case: Forensic analysis and litigation support in connection with a $15+ million fraud scheme

Let's discuss your needs.

Frequently Asked Questions

Call 231-242-4757
More questions?
Please give us a call at
We're always happy to answer
your questions.

What are your fees?

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.

What's the best way to get started with Regulatory Alliance?

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.

I don't know how to start a conversation with a compliance "geek" or what to ask. Sometimes compliance or the fear of not knowing what I should know keeps me up at night.

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.

Is it true that compliance services can be expensive?

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.

Get a Second Opinion About Your Firm's Compliance Program

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.

Call or email to schedule:

  • 231-242-4757
    Our office hours are Monday - Friday.
    Feel free to leave us a message 24/7.
  • Email us »