Regulatory Maven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms announce a strategic alliance with Breard & Associates.
Online PR News – 04-September-2013 – Londonderry, NH, USA (September 3, 2013) – Regulatory Maven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms announce a strategic alliance with Breard & Associates.
"Breard & Associates, a PCAOB-certified CPA firm, brings a wealth of audit experience to each client engagement, regardless of the firm's size or maturity," says Dennis McCarron, CEO and co-founder. McCarron adds, "We all know how challenging it is managing our business infrastructure while growing our firm. Broker Dealers are required by FINRA to have an annual independent audit by a PCAOB CPA firm. RIA firms that have custody of clients' assets are required as well, except the audit is unannounced. Regulatory Maven understands our client's business and structures a compliance program in "plain" English. Our alliance with Breard is truly complementary." Regulatory Maven provides compliance consulting and testing along with business consulting.
"We are impressed with Regulatory Maven's depth and expertise in SEC and FINRA regulations. Our clients will benefit from their proficiency and we look forward to our relationship," says CEO Kevin Breard of Breard & Associates. Kevin also stated that the two firms are philosophically aligned regarding those services that are both beneficial and required for RIA and BD firms. Breard & Associates provide independent audits, both announced and unannounced, to a variety of client firms, with a concentration among broker-dealers, registered investment advisers, wealth managers, hedge funds and private equity funds.
Regulatory Maven brings the knowledge and experience of financial industry professionals to structure and protects its clients' businesses in this demanding regulatory environment while best reflecting their vision. "We look to augment the services our clients need, while keeping within the guidelines established by the regulators, by partnering with firms such as Breard & Associates," says Steve Kenda, CFO and co-founder.
About Regulatory Maven
Regulatory Maven was founded in May 2013 by Dennis McCarron and Steve Kenda. The company is located in Londonderry, New Hampshire and provides a complete suite of securities compliance services to Broker-Dealer and Registered Investment Advisor firms. Regulatory Maven delivers distinctive expertise and exemplary results. For additional information about Regulatory Maven please visit http://www.regmaven.com or call us at 603.965.7791.
About Breard & Associates
Breard & Associates was established in 1989 as a full services Certified Public Accounting firm. The Company is headquartered in Northridge California, (near Los Angeles), with offices located in New York, Chicago, Oakland and Seattle. The firm today boasts a culturally diverse staff uniquely skilled in auditing, tax and financial planning. For more information about Breard & Associates, visit their website at http://www.baicpa.com or call 818-886-0940.
25 Nashua Rd, Suite C6