A $2B alternatives manager in Southern California required a Chief Compliance Officer for its advisory, brokerage, and futures compliance programs. The firm had aggressive growth goals, highly complex products, an ambitious “Type A” culture, and an unusual geographic location
Read MoreA 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.
Read More“Working with ReGroup removed the guesswork from our compliance systems implementation. ReGroup managed the risk of investing in a system with outstanding project management and delivered a huge asset to our firm on time and on budget.”
Todd S., Chief Compliance Officer
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