Regulation Technologies LLC was founded over twelve years ago in response to the growing need for regulatory resources due to the increase and complexity of requirements for the financial services industry. RegTec is a comprehensive turnkey compliance and legal consulting firm for the securities/futures industry. Broker/Dealers, proprietary trading firms, IBs and Exchange Members/TPH holders all benefit from our services. Large or small, we have the expertise to help your firm make the complex problems of compliance simple so that you may grow your business and leave compliance and legal matters to us. Our approach is client focused; in this complex world of regulatory compliance, whether broker/dealer, prop trading group or firm, one size does not fit all. RegTec caters to your firm’s needs and will tailor a compliance program that meets your specific situation. We will listen and work with you. Our specialists cover all areas of regulatory compliance with decades of experience to assure that you are protected.

Some of our services include:

  • Compliance audits and exams
  • Market Access Procedures and Testing 15c3-5
  • AML independent audits and OFAC checks
  • Insider Trading Procedures
  • Timely and updated Written Supervisory Procedures
  • Wells Letter responses and legal representation in settlement actions
  • Email/IM and Outside Brokerage Account review
  • Financial compliance
  • Annual Compliance Training
  • Large Trader ID filing
  • Form Custody filing
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