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Renaissance Regulatory Services
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Organization Overview
Renaissance Regulatory Services provides tailored consulting to broker-dealers, advisers, funds, and banks. Specializing in SEC, FINRA, and State compliance, we support examinations, procedures, controls testing, reporting, and registration. We offer independent consultancy and litigation support, customizing services for each firm.
Renaissance Regulatory Services (RRS) offers tailored compliance, regulatory, and operational consulting to banking institutions based on our extensive experience working with broker-dealers, investment advisers, private funds, investment companies, and bank holding companies. We can support your compliance program with performing AML program testing, Regulation R compliance reviews, code of ethics assessments, and trade desk operations examinations. RRS also provides a wide range of startup and registration services for banks seeking to start their own federal or state investment adviser or broker-dealer.
Renaissance Regulatory Services (RRS) offers tailored compliance, regulatory, and operational consulting to banking institutions based on our extensive experience working with broker-dealers, investment advisers, private funds, investment companies, and bank holding companies. We can support your compliance program with performing AML program testing, Regulation R compliance reviews, code of ethics assessments, and trade desk operations examinations. RRS also provides a wide range of startup and registration services for banks seeking to start their own federal or state investment adviser or broker-dealer.
