Kyle Boulton is the Manager of Financial Reporting and a Compliance Consultant with Renaissance
Regulatory Services, Inc. (“RRS”), a full service-consulting firm that offers a wide range of regulatory
compliance consulting services to broker-dealers and registered investment advisors.
Mr. Boulton is responsible for the day to day operations of the Financial Reporting department, supervising four
staff accountants and compiling full Financials, Net Capital, and FOCUS reports for 40 clients. Mr. Boulton
also works as a compliance consultant, providing ongoing general compliance support to clients.
Mr. Boulton provides compliance consulting on a wide range of regulatory and compliance issues. He has
personally completed over 90 branch audits, and has conducted compliance examinations related to Net
Capital, AML compliance, supervisory systems, advertising, and churning. Mr. Boulton has also participated in
expert witness litigation support engagements in relation to federal securities laws and broker-dealer
practices. In addition, Mr. Boulton creates and reviews written supervisory policies and procedures manuals
and continuing education plans for Broker-Dealers.
Mr. Boulton is a Graduate of the Florida Atlantic University School of Business and holds a BBA in Accounting,
a BBA in Management, and a minor in Marketing. He has successfully completed the National Society of
Compliance Professionals Certified Securities Compliance Professional (CSCP) examination and is currently
pursuing the Certified Public Accountant licensure.
|
