Posts in Risk
Investment Adviser Makes the Most of a Mock SEC Exam

"Having worked with Ann Oglanian in the past, I expected nothing less than the high level of professionalism and work quality we received. ReGroup made the mock SEC audit real for us. It was a great learning experience and the feedback we received was incredibly valuable as it was sensitive to our firm’s unique situation and perceived risks."

Doug P., Chief Compliance Officer

Read More
Risk, ComplianceAnn Oglanian