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.
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.
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.
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.