"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
Read More
A mid-sized registered investment adviser’s compliance testing revealed the need for a clear, consistent compliance training program for both new and current employees.
Read More
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.
Read More
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.
Read More
A large, registered investment adviser wished to restructure its product information team to increase operational efficiency.
Read More
In order to improve its operational efficiency, a $2B SEC-registered private fund manager purchased and implemented a compliance management system to assist in the administration of the firm’s code of ethics.
Read More
"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
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
Read More
"I trust ReGroup implicitly. I know they are on the right track, and I know enough about compliance to know this. Everything they uncovered has been pointed out for a good reason."
Robert L., President and CEO
Read More
A privately-held, $40B asset manager had expanded its UK-based operations to the US, necessitating its registration with the SEC and adherence to US federal guidelines.
Read More
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.
Read More
"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
Read More