DENVER, CO--(Marketwire - February 15, 2013) - Advisorbox officially announces that Regulatory Compliance has joined the Advisorbox family of firms. Regulatory Compliance provides consulting and regulatory assistance for investment advisors, broker dealers, fund managers, banks and other financial services firms. Regulatory Compliance also provides comprehensive regulatory compliance programs to help advisors meet their compliance obligations.
Established in 1989, Regulatory Compliance has maintained a superior industry-wide reputation with securities firms and regulators including FINRA, the SEC, and various states. Regulatory Compliance services are managed by a team of professionals with extensive experience and knowledge in a wide range of areas within the securities field (including registration, compliance filings, AML and 3012 testing, 206(4)-7 testing, FINOP filings, and more).
"Regulatory Compliance is a leader in the industry and a strong addition to the Advisorbox family of firms. Thirty employees provide scale, 23 years in business proves experience, and many hundreds of happy clients prove a high degree of expertise and extraordinary service," shared Ryan Shanks, Advisorbox Managing Partner.
Prior to founding Regulatory Compliance, President and CEO Stephen Sussman was a Senior Examiner with the NASD (now FINRA) where he performed exams of SEC-registered investment companies. Mr. Sussman's passion for assisting financial firms in meeting today's demanding regulatory requirements as well as the impact of Dodd-Frank has led to Regulatory Compliance's growth in providing clients with a complete one-stop compliance solution.
"We provide compliance and business consulting services in a clear, logical and tailored approach for all types of financial services firms and will customize a program to best fit our clients' needs," said Dennis McCarron, Chief Operating Officer of Regulatory Compliance.
Advisorbox is a national advisor solutions firm supporting individual advisors and providing supplemental advisor support for broker dealers and clearing firms. Advisorbox was started by a handful of leading advisor solution firms who believe combining resources within a family of firms and websites, and consolidating marketing efforts under the Advisorbox brand, will maximize the benefits each firm can provide.
The Advisorbox family of websites includes: Advisorbox.com, AdvisorboxDirectory.com, AdvisorboxExchange.com and is soon launching FindAdvisors.com. Advisorbox corporate offices are located in Denver and Breckenridge, Colorado.
- Regulatory Compliance