Tag Archives: regulatory maven

Business

Regulatory Maven Announces the arrival of Dan Lonergan

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“When it comes to succeeding in the securities compliance consulting field, we know we can’t take anything for granted, and we’re absolutely impressed with all of the hard work put in by our team recently. We have obtained a number of new clients, but we want to ensure that we keep up the good work. That’s why we are pleased to announce the arrival of Dan Lonergan.”

Londonderry, NH, USA (November 12, 2013) — It’s been a busy first six months, not only welcoming on board a number of new clients, but also new team members who will be helping the company maintain its high standard of securities compliance services. Speaking recently, Dennis McCarron, CEO said, “When it comes to succeeding in the securities compliance consulting field, we know we can’t take anything for granted, and we’re absolutely impressed with all of the hard work put in by our team recently. We have obtained a number of new clients, but we want to ensure that we keep up the good work. That’s why we are pleased to announce the arrival of Dan Lonergan.”

A Financial Services professional with more than 25 years of experience covering all aspects of the front, middle and back offices of Broker/Dealers, Banks, and Asset Management firms, Dan has performed roles in operations, management, and business development for some of the most complex and demanding financial firms in the US and abroad.

Dan started his career in financial services as a licensed series 7 & 63 representative before migrating to the operations and business processing side of the business. With extensive systems implementation and business conversions he has transitioned hundreds of B/D firms from fully disclosed to self-clearing environments, as well as initiating and establishing new B/Ds and RIAs from scratch in his professional services consultancy roles.

Dan’s business development roles include successful sales for startup entrepreneurial firms, professional services consultancy firms, as well as Fidelity, Sungard, and Schwab.

About Regulatory Maven

Regulatory Maven, Inc. 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 including compliance consulting and testing. RegMaven delivers distinctive expertise and exemplary results. For further information, please visit http://www.regmaven.com or call 603.965.7791.

Media Contact:
Dennis McCarron
Regulatory Maven
25 Nashua Rd, Suite C6
Londonderry, NH 03053
603-965-7791
dm@regmaven.com
http://www.regmaven.com

Business

Regulatory Maven and the Estate Planning Team Announce New Strategic Partnership

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Regulatory Maven, a compliance and business consulting firm serving registered broker-dealer firms as well as federal and state-registered investment advisor (RIA) firms, announces a strategic partnership with the Estate Planning Team.

Londonderry, NH, USA (October 22, 2013) — Regulatory Maven, a compliance and business consulting firm serving registered broker-dealer firms as well as federal and state-registered investment advisor (RIA) firms, announces a strategic partnership with the Estate Planning Team.

“The Estate Planning Team brings a unique tax deferred trust to RIAs, broker-dealers and their respective financial advisors. The trust is structured so that a business owner or property owner can defer the capital gain tax on the sale of their highly appreciated asset,” says Dennis McCarron, Regulatory Maven’s CEO and co-founder. McCarron adds, “Working with the Estate Planning Team in utilizing this strategy would be classified as an Outside Business Activity under current regulations and we all know how challenging it is to supervise these activities and determine the risk to the firm.” Regulatory Maven brings a depth of expertise to its clients by understanding their business and structuring a compliance program in “plain English.”

Robert Binkele, CEO of the Estate Planning Team, says “We are impressed with Regulatory Maven’s approach to and understanding the various compliance issues relating to our unique product and services. We believe that RegMaven’s understanding of the pertinent compliance issues will permit them to tailor an Outside Business Activity policy which will fit the broker-dealers and RIAs with whom we work.” Robert also stated that RegMaven shares EPT’s vision regarding the benefit of the Deferred Sales Trust™ and its benefit to RIA and BD firms.

Regulatory Maven together with the Estate Planning Team brings the knowledge and experience of financial industry professionals to structure and protect their respective clients’ businesses in this demanding regulatory environment while best reflecting their vision.

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 Estate Planning Team

The Estate Planning Team, Inc (“EPT”) is a national firm specializing in strategies to help property owners and business owners who have an interest in selling but are concerned about their capital gains tax liability. EPT is based in Indian Wells, California and has been offering these innovative services for 13 years. EPT provides education to its members along with administrative, marketing and support services to assist them in growing their financial services practices. As the financial services business continues to change, advisors need to find new and innovative solutions that bring added value to their investors. By learning to recognize opportunities to suggest the Deferred Sales Trust™ to their clients and prospects, advisors can do just that, while potentially securing the large sums of assets to manage that typically result from the sale of valuable businesses and real estate holdings. Recent changes in the tax laws have created substantial demand for tax deferral options and there has never been a more relevant time for broker dealers and financial advisors to offer the services that EPT provides. The advisor has the continued support of the EPT personnel and DOES NOT provide any tax or legal advice.

To contact Robert Binkele of the Estate Planning Team visit http://www.myept.com or http://www.mydstplan.com or call Kari Smith at 760-779-5339.

Media Contact:
Dennis McCarron
Regulatory Maven
25 Nashua Rd, Suite C6
Londonderry, NH 03053
603-965-7791
info@regmaven.com
http://www.regmaven.com

Business

Regulatory Maven and AdvisorAdit Announce Partnership

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Regulatory Maven, a compliance and business consulting firm serving SEC and state-registered investment advisor (RIA) firms as well as FINRA-registered broker-dealer firms, recently announced a strategic partnership with AdvisorAdit to offer an industry-first on demand information delivery service.

Londonderry, NH, USA (September 12, 2013) — Regulatory Maven, a compliance and business consulting firm serving SEC and state-registered investment advisor (RIA) firms as well as FINRA-registered broker-dealerfirms, recently announced a strategic partnership with AdvisorAdit to offer an industry-first on demand information delivery service.

Registered Investment Advisors (RIAs) subscribing to Regulatory Maven’s online compliance service will soon be able to use AdvisorAdit to access any Regulatory Maven content on demand with full reporting and archiving capabilities. By leveraging AdvisorAdit’s cloud-based service and advisor-centric taxonomy, advisors can access this critical information anytime, anywhere and with any leading device.

“Regulatory Maven is committed to helping advisors understand not just what they need to know but how to comply with changing regulations within the context of their businesses,” said Dennis McCarron, CEO and co-founder of Regulatory Maven. McCarron added, “We help advisors integrate compliance into their daily activities and work flows; therefore we felt the opportunity to leverage AdvisorAdit to deliver our expertise “on demand” could greatly differentiates us in today’s competitive environment.”

Martha Gallagher, Managing Partner and co-founder of AdvisorAdit said, “With Regulatory Maven’s commitment to delivering content to advisors when they need it most, it was easy to see that AdvisorAdit and Regulatory Maven had a strong incentive to work together and deliver true innovation to our shared client bases.” Regulatory Maven clients are invited to use all of AdvisorAdit’s features and connect with its growing base of sponsors and providers in the advisory community. Other AdvisorAdit clients will benefit from accessing vital and valuable compliance insights through Regulatory Maven’s compelling white papers. This service is expected to commence in the third quarter, 2013.

About Regulatory Maven
Regulatory Maven, Inc. 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 including compliance consulting and testing. Regulatory Maven delivers distinctive expertise and exemplary results. For additional information about Regulatory Maven please visit http://www.regmaven.com or call 603.965.7791.

About AdvisorAdit
AdvisorAdit LLC serves the growing Registered Investment Adviser (RIA) and independent advisor community by bringing advisors and providers together through an exclusive, confidential channel where advisors can easily access and curate valued provider content along with their own to more effectively manage their businesses. In addition, sponsors and other providers can acquire and retain more substantial client relationships by delivering content to advisors when they need it most, while gaining valuable insight into their practices. Learn more about AdvisorAdit visit http://www.advisoradit.com or call 781-279-0898.

Media Contact:
Dennis McCarron
Regulatory Maven
25 Nashua Rd, Suite C6
Londonderry, NH
603-965-7791
info@regmaven.com
http://www.regmaven.com

Business

Breard & Associates and Regulatory Maven Announce Strategic Alliance

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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.

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.

Media Contact:
Dennis McCarron
Regulatory Maven
25 Nashua Rd, Suite C6
Londonderry, NH
603-965-7791
info@regmaven.com
http://www.regmaven.com

Business

Market76 & Regulatory Maven Announce Partnership

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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 the partnership with Market76.

Londonderry, NH, USA (July 24, 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 the partnership with Market76.

“Market76 brings a solid suite of software and services to the Registered Investment Advisor firm, Broker-Dealers and their respective financial advisors,” says Dennis McCarron, CEO and co-founder. McCarron adds, “We all know how challenging it is to manage our business infrastructure while growing our firm. Regulatory Maven brings a depth of expertise to our clients by understanding their business and structuring a compliance program in “plain English.” Regulatory Maven provides clients compliance consulting and testing along with business consulting.

“We are impressed with the compliance programs Regulatory Maven has designed for their clients and are confident that our partnership will bring significant value to our clients,” says Arthur Weissman of Market76. Arthur also stated that the two firms are philosophically aligned regarding those services that are most beneficial to RIA and BD firms. Market76 provides client firms and their advisors with tools to increase their efficiency in managing technology and workflow.

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.

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.

Media Contact:
Dennis McCarron
Regulatory Maven
25 Nashua Rd Suite C6
Londonderry, NH 03053
603-965-7791
info@regmaven.com
http://www.regmaven.com