Renaissance Regulatory Services, Author at Renaissance Regulatory Services

Author: Renaissance Regulatory Services

Broker Dealer Compliance Program and FINRA Compliance Review

Strengthening Your Broker-Dealer Compliance Program with Support from RRS

Written by Renaissance Regulatory Services on March 9, 2026. Posted in Renaissance Regulatory Services.

Broker-dealers operate in one of the most highly regulated areas of the financial services industry. Regulatory oversight from the SEC, FINRA, and other self-regulatory organizations requires firms to maintain strong compliance controls and supervisory systems. As a result, firms must implement a comprehensive broker dealer compliance program that addresses supervisory responsibilities, internal controls, regulatory reporting, and periodic compliance testing.

Investment adviser compliance program review and regulatory testing

How RRS Helps Firms Build an Investment Adviser Compliance Program

Written by Renaissance Regulatory Services on March 9, 2026. Posted in Renaissance Regulatory Services.

Investment advisers operate in a complex regulatory environment where maintaining a strong investment adviser compliance program is essential. The Securities and Exchange Commission (SEC) requires advisers to establish and maintain formal compliance systems designed to prevent regulatory violations and protect investors.