Packaged Services

RegTec also offers packages of compliance services for a flat rate. While each compliance package can be tailored to client needs, below describes 3 of the most commonly used compliance packages of our FINRA clients.

Basic Review

Review of employee/associated persons electronic mail and personal trading statements. Let the RegTec experts review these matters with parameters and policies furnished and designed by your firm.

Mid-Range Review

The RegTec Basic Review plus weekly or monthly compliance meetings, annual review and update of all written supervisory procedures including AML and BCP, a hosted annual compliance meeting, Firm element training, if needed.

Full Service

The Mid-Range Review plus annual CEO certification assistance, preparation for examinations, on-site examination support and post-exam inquiries including responding to deficiency letters; assistance with OATS reporting; real-time availability to field questions and contact regulators on your firm’s behalf.

Package pricing is dependent on the number of employees, business lines and principals’ involvement in the compliance function.

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