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Regulatory Compliance Consultants | Regulatory Compliance Services | AML Testing | RIA Compliance - RegMaven

We welcome the opportunity to speak with you about your business, your aspirations and resources. RebMaven offers regulatory compliance services.

http://www.regmaven.com/

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Regulatory Compliance Consultants | Regulatory Compliance Services | AML Testing | RIA Compliance - RegMaven | regmaven.com Reviews

https://regmaven.com

We welcome the opportunity to speak with you about your business, your aspirations and resources. RebMaven offers regulatory compliance services.

INTERNAL PAGES

regmaven.com regmaven.com
1

Management Team | RegMaven

http://www.regmaven.com/management-team

Where Compliance Meets Business. Dennis McCarron Co-Founder and CEO. Strategic-minded, Senior Executive with more than 27 years’ experience running businesses, and leading teams in the financial services industry. Successful in developing and implementing customized programs for Compliance, Operational and Strategic Business plans. Proven ability to build and lead support teams. Industry Licenses and Affiliations:. FINRA District 11 Committee Member 2010 – 2012. FINRA Series 7 (General Securities). Dan s...

2

Year-end compliance; are you ready? | RegMaven

http://www.regmaven.com/news-events/year-end-compliance-are-you-ready

Where Compliance Meets Business. Year-end compliance; are you ready? The summer is quickly coming to an end and your compliance year-end tasks are now in front of you. Have you reviewed your checklist of required exams and tests? Have you reviewed and updated your compliance manuals with current rule number changes and amendments? RegMaven will assist you in preparing for 2015 with a compliant 2014. RegMaven’s team of CCOs, securities attorneys and former regulators will work with you to build a complian...

3

Blog | RegMaven

http://www.regmaven.com/blog-2

Where Compliance Meets Business. Where does your firm stand? January 27th, 2016 Author: RegMaven. When it comes to Cyber Security the question isn’t “has your firm been hacked”, the question is “how often has it been attacked and to what extent? 8221; Additionally, what are you doing about it? Are procedures and testing aligned with your systems and resources? Are your employees trained on how to recognize an attack and to whom to report it? To see a Real-time view of Global Cyber Attacks. The data colle...

4

Enterprise Valuation Planning - preparing for the future… | RegMaven

http://www.regmaven.com/sample-page/enterprise-valuation-planning-preparing-for-the-future

Where Compliance Meets Business. Enterprise Valuation Planning – preparing for the future. RegMaven’s business is founded on working with clients on building, effecting and monitoring sound compliance practices based on your business model, risks and resources. Our belief is that this method is uniquely aligned with all functional areas of your business, e.g. sales, marketing, branding, finance, management, HR, operations, etc. Is there a plan to improve efficiencies? We bring the expertise of financial ...

5

Ria Compliance Consultants | Regulatory Compliance Consultants | Regulatory Compliance Consulting | RegMaven

http://www.regmaven.com/consultant-team

Where Compliance Meets Business. Shawn Craig, Compliance Consultant. Shawn serves as an independent compliance consultant of Regulatory Maven. He has more than 12 years of combined experience in the disciplines of investment management, personal financial planning, and in broker-dealer regulatory compliance. Alan J. Besnoff, CFP , CHFC, CLU. Alan J. Besnoff, CFP, ChFC, CLU is the founder of Securities Expert Witness and Litigation Support, LLC and serves as a securities expert witness and litigation ...

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