Packaged Services
Reg Tec 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 meeting, 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 after-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.
