Welcome

Regulatory Compliance Solutions Inc is a boutique regulatory compliance consulting firm located in New York City. RCSI has experience working with financial institutions on compliance matters with SEC CFTC, FINRA, NFA and state regulators. We provide services to Broker- Dealers (BD), SEC and State Registered Investment Advisers (RIA), Robo-Advisor, Private Funds Hedge Funds and Private Equity Funds, Commodity Trading Advisors (CTA), Commodity Pool Operators (CPO) and NFA Introducing Brokers (IB). Our team is comprised of former buy-side and sell-side Chief Compliance Officers. Our Compliance Professionals average tenure is 20 + years. RCSI is listed in the FINRA Compliance Vendor Directory, & NSCP Vendor Directory.