Regulatory Compliance Association

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Financial Vulnerability Assessment (Tuckman-Chang)

4 risk indicators measuring financial stability and operational resilience

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Financial Trends

Organization Details

Formation Year

2005

Legal Domicile

Phone

6467455509

Tax Period

2019-01-01 to 2019-12-31

Regulatory Compliance Association, founded in 2005, is a small nonprofit that reported $268K in total revenue in fiscal year 2019. Revenue decreased 9% compared to the prior year. Expenses of $448K exceeded revenue, resulting in a 67% operating deficit.

Mission

Protect investors and fiancial markets as the exclusive authority for compliance educations, training, accreditation, certification, skills assesment and employee training.

Program Service Accomplishments

Program 1

Regulatory Compliance Association offers Compliance and Operational Skills Assessment Training, Professional Licensure and Certification, Education and Accreditation.

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Trantor Score

Financial Health Score (300–850) · Liquidity · Solvency · Sustainability · Efficiency

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Liquidity (40%) • Solvency (30%) • Sustainability (20%) • Efficiency (10%)

Financial Overview (2019)

Revenue Breakdown

Contributions & Grants $166,836

Program Service Revenue $101,542

Investment Income $0

Other Revenue $0

TOTAL REVENUE $268,378

Expense Breakdown

Grants Paid $0

Salaries & Benefits $0

Fundraising Expenses $0

Other Expenses $448,446

TOTAL EXPENSES $448,446

Year-over-Year Comparison

	2019	2018	Change
Revenue	$268,378	$294,439	-0.1%
Expenses	$448,446	$529,130	-0.2%
Net Income	$-180,068	$-234,691	-0.2%

Key Indicators

✗ Grants to Organizations ✗ Grants to Individuals ✗ Lobbying ✗ Political Activity ✗ Foreign Activities ✗ Donor Advised Fund ✗ Schedule B Required

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Financial Health Indicators

Comprehensive financial analysis: Altman Z-Score, liquidity, solvency, sustainability, efficiency, and growth metrics

Financial Distress Indicator

Liquidity & Cash Position

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Altman Z-Score • Liquidity Ratios • Solvency Analysis • Growth Indicators • Efficiency Metrics

Governance

Voting Members

Independent Members

Employees

N/A

Volunteers

N/A

Governance Policies

✗ Conflict of Interest Policy

✗ Whistleblower Policy

✗ Document Retention Policy

Special Practices & Reported Activities

✗ Operated a School

✗ Operated a Hospital

✗ Provided First Class Travel

✗ Reported Conflict of Interest

✗ Reported Asset Diversion

✗ Excess Benefit Transaction

✗ Made Political Expenditures

✗ Engaged in Lobbying

✗ Operated Donor Advised Fund

✗ Maintained Art Collections

✗ Filed Form 720

Compensation of Officers, Directors & Key Employees

Total Officers

Total Directors

Key Employees

Highest Compensated

reported

Name	Title	Hours/Week	Role	Reportable Comp	Other Comp	Total
Amy Roy	Executive Dir.	30.00	Officer Director	$0	$0	$0
Walter Zabrowski	Director	1.00	Director	$0	$0	$0
Kip Allardt	Director	0.00	Director	$0	$0	$0

Note: Compensation data is self-reported by the organization on their Form 990. "Reportable Comp" includes salary, bonuses, and other reportable compensation from the organization and related organizations. "Other Comp" includes benefits, deferred compensation, and non-taxable benefits.

Historical Data

Year	Revenue	Expenses	Assets	Net Income
2019	$268,378	$448,446	$14,513	$-180,068
2018	$294,439	$529,130	$63,165	$-234,691