Regulatory and compliance solutions for the financial services industry.

COMPANY

Blueprint Regulatory Consulting (BRC) is a full service regulatory compliance consulting firm for the financial services industry. BRC “architects” custom compliance solutions for broker-dealers, investment advisors, private funds and commodities/futures firms. In a constantly changing regulatory environment, BRC is distinctively qualified to provide solutions that mitigate risk and are unique to the specific needs of each client. The direct regulatory compliance experience of our consultants is unparalleled in the industry. BRC specializes in working with foreign and domestic entities seeking access to the U.S. capital markets, while establishing long-term partnership that remain effective long after entry into the market.
The direct regulatory experience of BRC’s consultants combined with its practical and risk based analysis compliments customer internal infrastructure and controls. Customized approach and availability are the key elements that separate BRC from other consulting competitors. BRC’s practical approach is sensitive to ultimate business objectives without compromising compliance initiatives or budgetary targets.   BRC remains committed to offering private banking approach the compliance consulting industry providing unparalleled service to the financial sector. BRC is a company recognized through its partnerships as providing clients industry advocacy and independent audit critique which ultimately equate to enhanced risk based compliance programs.

SERVICES

Brokers/Dealers
Investment Advisors
Futures & Commodities
Private Funds
  • "We consider BRC a regulatory advocate and our toughest critics."

    CEO Mid-Sized Investment Adviser, San Diego, California

  • "A valued compliance partner with a proactive approach vital to the success of our company."

    CEO/CCO – Institutional Broker-Dealer New York, NY

  • "Blueprint is the private banking of compliance consulting."

    CEO/CCO Large Broker-Dealer/Investment Adviser, Miami, Florida

REGULATORY UPDATES

Securities Exchange Commission (SEC) - News

Financial Industry Regulatory Authority (FINRA) - News

U.S. Commodity Futures Trading Commission - News

National Futures Association (NFA) - News

Contact Us

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