A large West Coast mutual fund manager requested an assessment of the firm’s governance framework.
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"Our firm's growth was faster than we anticipated, and our legal and compliance services didn't keep up. When we also needed to support changes in key professionals and expansion into Asia, we knew it was time to rethink our structure and resources in a smarter way to support the firm. ReGroup's industry knowledge and actual experience in the job was immediately credible. The process was efficient, smart, and thorough. Our results are happier internal clients, a lower-stress environment, and a more nimble ability to serve the firm's needs while managing costs."
Tim P., General Counsel
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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 multinational insurance company managed $70B AUM in captive assets of its parent company and global affiliates.
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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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"We worked with ReGroup to help our firm successfully navigate multiple management changes. They exceeded my expectations - the hands-on nature of the services they provided, their ability to identify with our employees, and the level of insight they provided were exemplary."
James T., President and General Counsel
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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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"ReGroup engineered a special experience for our company that rewarded high potential employees, identified prospective leadership, and applied our best and brightest to some of our toughest problems. The opportunity to work with highly skilled colleagues in a fun, competitive, and well-defined setting allowed us to drill down into incredibly difficult topics with great results for participants and the firm.”
Lei L., Senior Vice President and Head of IT
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The CCO of a $7B AUM investment adviser requested assistance managing the firm’s compliance program and testing plan in a way that assessed, incorporated, and mitigated regulatory and operational risk.
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"Ann helped us find the opportunity in the middle of a governance transition from our founder to professional management. ReGroup designed and facilitated an offsite that kept the conversation focused, objective, and productive. We walked away a stronger mission and blueprint for success."
Jane R., Board Chair
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