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
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