Louis Dempsey

Founder and President

Louis Dempsey is the founder and President of Renaissance Regulatory Services, Inc. Mr. Dempsey has more than thirty years of public and private sector regulatory compliance and operations experience. His background includes advising and examining broker-dealers, investment advisers, and bank holding companies regarding federal, state, and self-regulatory rules and regulations.

Compliance Consulting Experience

As a consultant, Mr. Dempsey has managed hundreds of engagements. These engagements include compliance examinations, startups, mergers and acquisitions, and the creation of written compliance and supervisory policies and procedures. His work has also included expert witness support and assistance with regulatory mandates. His clients have included large national and multinational broker-dealers, investment advisers, banks, law firms, and regulatory organizations. Mr. Dempsey has extensive experience with securities regulation, including trading, market-making, sales practices, branch office supervision, financial audits, internal controls, and registrations. He previously managed a compliance consulting and outsourcing business with a staff of more than twenty professionals. In addition to product and service development, he gained extensive experience in staffing, training, resource allocation, budgeting, and business development. He was also responsible for a quarterly newsletter focused on compliance and operations issues.

Regulatory Experience

As a regulator, Mr. Dempsey has more than twelve years of combined experience with the Securities and Exchange Commission and the Florida Division of Securities. He served as a Branch Chief and Staff Accountant with the Securities and Exchange Commission’s Miami Regional Office. While at the SEC, Mr. Dempsey planned and managed complex financial, operational, and sales practice examinations of broker-dealers and investment advisers. He also managed inspections of FINRA District Offices and conducted oversight examinations of the NYSE and FINRA. In addition, Mr. Dempsey provided investigative support to the SEC’s Enforcement staff on matters involving sales practices, market manipulation, and net capital. During his five years with the Florida Division of Securities, he supervised and conducted complex examinations and investigations of broker-dealers, investment advisers, and issuers. He also assisted with staff training and development. Mr. Dempsey participated in several regulatory task force sweep examinations with the SEC, self-regulatory organizations, and state regulators.

Industry Speaking and Training

Throughout his career, Mr. Dempsey has spoken at numerous regulatory and industry training programs. His presentations have covered topics including Compliance Structure and Internal Controls, Churning Analysis, Red Flags in the Micro-cap Market, Branch Office Supervision, Registered Representative Compliance, Trading and Market-Making Compliance, and Fixed Income Trading Practices.

Professional Affiliations and Education

Mr. Dempsey currently serves on the Board of Directors for the National Society of Compliance Professionals and the Board of Directors for the Florida Securities Dealers Association. He earned the Certified Regulatory Compliance Professional designation from the FINRA Institute at Wharton, the NSCP Certified Securities Compliance Professional designation, and the ACAMS Certified Anti-Money Laundering Specialist designation. Mr. Dempsey received a Bachelor of Science in Economics with a focus in international trade and finance from Florida State University.