A large West Coast mutual fund manager requested an assessment of the firm’s governance framework.
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"In two days, senior-level executives who had rarely worked together walked away with a shared purpose and mission. Three years later the operations management group continues to deliver outstanding leadership and coordinated internal service efforts."
Michael W., Executive Vice President and General Counsel
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A Small/SMID-cap manager with a 20-year history, small employee base, and just over $2B AUM, wanted transparent and effective systems that could support expected growth and shifting regulatory and institutional client expectations.
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“In order to do risk management well, you need to understand the business. ReGroup understands the business. ReGroup helped us understand the depth we needed to go to make sure the right framework was in place – that was our safety net.
Jayne E., Senior Portfolio Manager
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"This committee and Ann’s involvement as an independent compliance expert have become an invaluable resource to the firm and an integral part of our risk management efforts."
Peter G., Chief Compliance Officer and General Counsel
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A small cap manager with 4 billion AUM, a twenty-year operating history, and 18 employees, sought to capture repeatable tasks, regulatory requirements and client deadlines, and to create clearer reporting to senior leaders.
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The founders of a growing institutional Small and Mid Cap manager with limited product capacity and excellent investment performance wanted to assess the back-office infrastructure, processes, and staff against an anticipated 100% growth in AUM over a three-year period.
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