RegTec, LLC is a specialized consulting firm dedicated to providing comprehensive regulatory compliance solutions to the financial services industry. Their mission is to help clients, such as brokers, investment advisors, and commodity trading advisors, navigate the complex landscape of financial regulations enforced by bodies like the NFA and CFTC. They offer a range of services including registrations, ongoing compliance support, mock audits, anti-money laundering (AML) program reviews, and cybersecurity policy development, ensuring their clients maintain adherence to industry standards.

Founded in

United States