Archive | RegTec LLC

clawback

SEC is Finalizing Rules for Broader Executive “Clawback”

It seems reasonable enough. If an executive of a company that engages in unethical or illegal conduct has received incentives such as stock options or bonuses, once those actions come to light the executive would be required to return those incentives. The term for that is “clawback.” Currently clawback rules apply only to the CEO […]

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What Does RegTec Do?

We are a Chicago-based firm that focuses on offering the financial services industry the right tools to ensure their work meets the highest requirements. We work hard to provide end-to-end solutions and advanced tools to handle compliance, systems, and administrative needs for exchange members, investment advisors, and broker-dealers. Investment Advisors Ours services include: State registration […]

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What We Do

Since the recent decline of the market, RegTec recognized a need for new, advanced tools to handle compliance, systems, and administrative needs for exchange members, investment advisors, broker-dealers, and other industry groups. We focus on providing end-to-end solutions for the international financial services industry by offering resources with reasonable cost and transparency. Our key demographic […]

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