Welcome to RND Compliance your Regulatory Compliance Experts
RND Compliance specializes in FINRA and SEC consulting, compliance, and remediation for broker-dealers, RIA firms, fund managers, and related financial industry firms. We’re committed to providing expertise in compliance matters such as; consulting for start-up firms, resolving regulatory actions, audit and exam preparation, cyber-security controls, on-going compliance administration, and much more.
Our breadth of experience is vast, as we’ve been serving financial firms over 30 years and have worked nationally with a number of business models.
Regulatory Compliance Solutions for:
- Broker-Dealers
- Registered Investment Advisory Firms
- Municipal Advisors and Brokers
- Hedge Fund Managers
- Private Equity & Private Placement Entities
- Commodity Trade Advisors, Futures Commission Merchants, Insurance Companies, Investment Banks, Fintech Startups, and many others.
RND’s expertise is founded on customized compliance solutions that integrate business planning, compliance, operations, trading, and registration into one coordinated program.
As a full service regulatory consulting firm we’re capable of handling remediation, audit, accounting, and compliance needs from start-up through on-going monthly support.
Since 1984, RND Compliance has been a regulatory compliance consulting services leader to financial industry firms. We’re proud of our expertise in regulatory matters and measure success in how we help you grow.
We assist BD, RIA, and start-up firms with Fin-tech strategy, Reg-tech data-driven compliance, emerging technology like Blockchains and distributed ledgers, and Cybersecurity policies.
Integrated Compliance that fits today’s technology and regulatory challenges.
Contact Us for more information about how we can support your firm with regulatory compliance, audit, and consulting services.
Learn more - RND Resources Cybersecurity Plan Brochure
Click here to learn about Fintech consulting for BD & RIA, and start-up firms
Dave Banerjee CPA (Retd) is honored to serve on FINRA district 2 committee during 2017 thru 2019
