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
"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 CEORead 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