Personal Information
Organization / Workplace
West Palm Beach, Florida Area, Florida United States
Occupation
President, Renaissance Regulatory Services, Inc.
Industry
Finance / Banking / Insurance
Website
http://www.RRSCompliance.com
About
Louis Dempsey has over twenty years of public/private sector regulatory, compliance and operations experience, which includes a unique combination of experience in advising and auditing broker-dealers, investment advisors and bank holding companies relative to federal, state, and self-regulatory rules and regulations.
Louis has served as the Independent Examiner and Compliance Consultant on several SEC, FINRA, and State regulatory matters, and as an expert witness in litigation and arbitration proceedings related to sales practice violations.
Specialties: SEC, FINRA and State Regulatory Matters. Regulatory Mandated Independent Compliance Consultant. Expert Witness.
Tags
ria
investment company
finra
bd
regulatory
sec
compliance
securities
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