Investment Advisors

RegTec can provide state or SEC registration services – we can “do it all” or guide you through the process. RegTec can also navigate you through IARD administration.

  • Steer your Firm through all disclosure issues
  • Develop written supervisory procedures and/or a compliance program tailored to the size and needs of your firm. At RegTec, we will ensure that you meet your regulator’s standards while working within the framework of your firm’s resources. We can conduct your review of employee compliance with the Firm’s code of ethics, the Firm’s compliance with advertising rules and proprietary trading and assist with custody issues.
  • Pilot your Firm through a regulatory inspection or take a “behind the scenes” role.investment adviser in Chicago