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Regulatory and Compliance Services

We know it can be tough keeping up with all of the regulations and laws that govern this specialized space. Let the accounting professionals at River Edge Advisors be your guiding light. Our team has over 20 years combined experience in handling all areas of compliance management. We have successfully helped organizations mitigate regulatory risk and navigate investor issues.

Our outsourced professionals will help you navigate through the often intense scrutiny that accompanies this industry. As a part of your staff, we’ll keep your firm in compliance with the SEC, FINRA, NFA, CFTC, as well as the many other regulatory bodies. We also provide ongoing monthly and quarterly reviews of your compliance program.

Our services include:

Fund Investor &

Corporate Compliance




Mock Exams

Draft Regulatory Filings

(13F, Annex IV, CPO-PQR, Form D, Form PF, Blue Sky)

Employee Compliance




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