Compliance & Governance Jennifer Vachon Who Are All Those Financial Regulators? PWL Capital 2017-08-21T10:00:01 August 21, 2017 Financial services and our regulatory agencies. They go together like wine and cheese, cell phones and texts … an ice rink and a hockey puck. Why have just one regulatory agency when you can have at least four? Who are these agencies and what role does each one play?