EXPERIENCE

REGULATORY COMPLIANCE SPECIALISTS, LLC has significant employment and industry experience with the following types of entities:

COMPANIES:

Broker/Dealers
Investment Advisers
Investment Companies
Stock Exchanges
Securities Derivatives Exchanges
Foreign Currency Options Exchange
Securities Depositories
Securities Clearing Corporations
Securities Compliance Industry Associations
Investment Banks
Commercial Banks
Bank Industry Associations
Trust Companies
Credit Unions
Investment Product Manufacturers
Discretionary Asset Managers
Hedge Funds
Insurance Companies
Insurance Agencies
Law Firms

RCS staff has held positions with multiple financial services firms and other entities in the following roles:

ROLES with ENTITIES

Board of Directors Member ("CEO")
Chief Executive Officer ("CEO")
Chief Compliance Officer ("CCO")
Chief Operations Officer ("COO")
Chief Legal Officer ("CLO")
General Counsel-US & UK Operations
General Counsel
Executive Vice President
Senior Vice President
Compliance Officer
Counsel
Business Conduct Committee Chairperson
Audit Committee Chairperson
Compliance Registered Options Principal
NASD Industry Arbitrator
NASD District Committee Member
NASD Hearing Panel Participant
Investment Adviser Certified Compliance Professional ^sm
Industry Association Focus Group Member
Lecturer for The Center for International Legal Studies

RCS staff has significant experience in working with the following regulators:

REGULATORS

Securities and Exchange Commission ("SEC")
National Association of Securities Dealers ("NASD")
Federal Reserve Bank ("FRB")
Office of Thrift Supervision ("OTS")
Office of the Comptroller of the Currency ("OCC")
Federal Deposit Insurance Corporation ("FDIC")
UK Financial Supervision Authority ("UK FSA")
Finnish Financial Supervision Authority ("Finnish FSA")
U.S. Patent & Trademark Office ("USPTO")
U.S. Copyright Office
State Securities Commissions
State Insurance Commissions
Other Regulatory Authorities

RCS brings a world of insight to your business. RCS looks forward to demonstrating why a relationship with RCS is the Right Choice.