Louis Dempsey

Title
Founder and President
@
Company
Renaissance Regulatory Services

Louis Dempsey is the founder and President of Renaissance Regulatory Services, Inc. a full service-consulting firm that offers a wide range of regulatory compliance consulting services to broker-dealers and registered investment advisers. Louis has over thirty years of public/private sector regulatory compliance and operations experience, which includes a unique combination of experience in advising and examining broker-dealers, investment advisers and bank holding companies relative to federal, state, and self-regulatory rules and regulations. He has served as an expert witness and independent consultant on numerous regulatory matters that include SEC, DOJ, FINRA, and State enforcement proceedings. He began his career in the industry with the Florida Office of Financial Regulation, Division of Securities and served twice on the staff of the SEC as a Staff Accountant and Branch Chief.

Upcoming Speaking Events

  • 2024 SEC Focus: Navigating New Compliance Horizons for RIAs, Private Fund Advisors & Broker Dealers
    hosted by Renaissance Regulatory Services
    March 7, 2024
    1:00 PM - 2:00 PM
    Webcast

About Renaissance Regulatory Services

Renaissance Regulatory Services, Inc. provides comprehensive regulatory, compliance, and operational consulting and support services to investment advisers, broker-dealers, private funds, investment companies, and banks. Our staff has the experience and insight to meet all your compliance needs. We specialize in SEC, FINRA and State compliance examinations, written supervisory procedures, internal controls testing, regulatory reporting, and registration services. RRS has also served as an independent consultant on a wide range of regulatory undertakings for investment advisers, broker-dealers and other financial institutions as well as providing litigation support in regulatory matters. Our services are customized to fit each firm’s unique operations and can be performed onsite or remotely. RRS’ consultants and partners consist of former regulators and compliance professionals who have extensive experience with SEC, FINRA, and state rules and regulations. www.RRSCompliance.com