ACA Compliance Group (ACA) is a full-service compliance consulting firm offering unparalleled regulatory compliance services and GIPS verification services designed to satisfy the needs of investment advisers, private funds, investment companies, and broker-dealers. For more information call 212-868-5940 or visit www.acacompliancegroup.com.
ACI provides compliance consulting and outsourcing services for broker-dealers and investment advisors. We assist with registration, audits, finop outsourcing, SEC Exam Preparation, and other accounting and compliance related services specific to broker-dealers and investment advisers. Contact us at email@example.com or 212.668.8700.
Make Compliance an Asset with Advent Rules Manager®.
Advent Rules Manager® is a comprehensive solution for trading compliance and portfolio monitoring, you can turn your manual policies and procedures into automated processes and take compliance to a new level. Implement the proactive controls and improved tools to monitor trading and allocations.
Agility Recovery Solutions is a former division of GE with 23 years disaster recovery and business continuity experience. We are dedicated to creating and delivering innovative business continuity solutions that challenge the traditional industry barriers of scale, cost and complexity. As such, we provide comprehensive, packaged recovery solutions and testing options to businesses across the United States and Canada.
AI Insight provides non-biased Alternative Investment industry insight and offering-level education to Broker Dealers, their Financial Advisors and other firm members. Our innovative web-based system also provides Broker Dealers and Sponsors an efficient avenue for introducing and sharing up-to-date information on new and existing offerings – all within regulatory-based directives.
Alaric is a full service compliance consulting firm serving the regulatory compliance needs of a broad spectrum of investment management clients with AUM from $150 million to $110 Billion. Founded in 2004, the Alaric team is comprised of former regulators, in-house compliance officers and attorneys with offices in NYC, Washington DC, Chicago and LA. For more information, contact Mail@alariccompliance.com or call 888-243-2448 or visit our website, www.alariccompliance.com.
AML Audit Services, LLC is a specialist provider of AML audit and independent testing for broker-dealers and investment advisors. For more information about our AML compliance services, call AMLAS today at 1-973-229-4275 or visit www.AMLAuditServices.com
Ascendant Compliance Management provides a full range of compliance management services helping Investment Advisers, Broker-Dealers and Hedge Funds meet their regulatory responsibilities. We help companies prepare for SEC/FINRA exams, registration, outsourced compliance management, regulatory risk management assessments, infrastructure analysis, due diligence services and compliance training. Our philosophy is straightforward: compliance should not be difficult. www.ascendantcompliance.com
Asgard Regulatory Group, LLC ("Asgard") specializes in providing regulatory compliance and business advisory services to broker-dealers; investment advisers and hedge funds to ensure they meet SEC, FINRA, MSRB and other governmental rules and regulations. Please visit our website at www.asgardcomplaince.com or contact us at 631-801-2900.
Bingham offers a broad range of market leading practices focused on global financial services firms, with 1,100 lawyers in 13 offices, including leading financial and regulatory centers such as New York, Boston, London, Washington, Tokyo and Hong Kong. Our attorneys provide results-oriented, cost-effective counseling, regulatory compliance and defense services to the financial services industry.
Bloomberg Vault is an end-to-end, cloud-based secure hosted platform that consolidates your compliance, legal and data management processes into an integrated, real-time system.
BNY Mellon, a recognized leader in compliance solutions, helps firms reduce risk and increase efficiency through ClearSky, one of the most reliable, cost-effective Blue Sky compliance services available today. We also offer a streamlined Advertising Review Solution for online tracking, annotating, and 17a-4 archiving of advertising materials.
ProxyEdge® is the internet tool that helps you achieve compliance and streamline proxy voting. Manage, track, reconcile and report your proxy voting through electronic delivery of ballots, online voting and SEC compliant reporting and record keeping. ProxyEdge helps reduce the time, paper and effort associated with the proxy process.
As one of the oldest law firms in the United States, Cadwalader, Wickersham & Taft LLP, founded in downtown New York in 1792, is proud of more than 200 years of service to many of the world's most prestigious institutions. Our rich history and participation in many of the most significant social, economic, and legal issues accompanying the growth of the U.S. have led us to also become one of the world's most prominent law firms, with influence that has expanded around the globe as we advise clients with interests in Europe, South America, and the Pacific Rim.
CFA Institute is the global association of investment professionals that sets the standard for professional excellence. Our mission is to lead the investment profession globally by promoting the highest standards of ethics, education and professional excellence. In support of that mission CFA Institute offers the CFA, CIPM, and Claritas educational programs along with several advocacy initiatives, including the Global Investment Performance Standards, Asset Manager Code and Pension Trustee Codes of Conduct.
Cipperman Compliance Services is an independent entity offering a third-party perspective on regulatory compliance. CCS grew out of Cipperman & Company, a law firm focused exclusively on the investment management industry and related regulatory issues.
Certified Securities Compliance Professional® (CSCP®) Program
NSCP’s certification program distinguishes individuals with intermediate to advanced proficiency and a commitment to broadening securities compliance practices, lifelong learning, and professional development. Candidates that achieve the CSCP will have successfully demonstrated expertise of both broker-dealer and investment adviser compliance best practices, rules and regulations, and industry standards.
Schwab Designated Brokerage Services and Compliance11® have joined forces to bring you Compliance Solutions. This employee monitoring offer includes designated brokerage services, cloud-based technology, and a wide range of financial products and services for employees. Together, these cost-saving solutions can help firms reduce manual processes, mitigate risk, and think proactively about compliance. Compliance11’s cloud-based technology platform is as comprehensive as it is easy to use and includes four separate modules designed to track pre and post personal trading, affirmations and disclosures, case management, and gifts and entertainment. Charles Schwab & Co., Inc. (“Schwab”) and Compliance11, Inc. are subsidiaries of The Charles Schwab Corporation.
Compliance Intelligence is an exclusive information service for asset managers, broker dealers, investment, securities and bank compliance officers including advisers about directives, proposals, enforcement actions and exam information from top regulators. It goes behind regulatory announcements to provide implementable steps as a how-to guide, rather than a regulatory watch-list.
Compliance Science is a leading technology vendor that offers web-based regulatory compliance technology that allows financial organizations to automate the complete review of their employee personal trading and code of ethics activities. Their dedicated implementation and service teams allow you to organize, supervise, and archive your compliance activities while significantly reducing your operating costs compared to other solutions. Start streamlining policies and procedures while managing risk today by speaking with an industry expert at 212.327.1533 or visit www.complysci.com.
CompliancEX is a blog that provides Compliance professionals worldwide news articles, a daily newsletter, insightful commentary on regulatory proceedings and an interactive group on LinkedIn. Our content is available on a variety of social media platforms, including www.CompliancEx.com, and a daily newsletter sent to over 80,000 Compliance professionals. http://compliancesearch.com/compliancex/newsletter-signup/
• Compliance Hotline for Flat Monthly Fee
• Independent Consultant for FINRA Settlements
• Redrafting/Creating specialized documents that work for your firm
• “Shadow” assistance for regulatory audits and requests
• Specialized and engaging training programs
Making Big Firm Expertise Accessible to Small Institutions
Providing an integrated suite for managing company policies, tracking employee education and streamlining case management. The cloud-based application is fast to set up, easy to use and accessible from any device or location.
Cordium is a market?leading provider of regulatory compliance consulting services and software to the asset management and securities industries. We currently support more than 800 investment businesses. Cordium was formed by the merger of The IMS Group, HedgeOp Compliance and EvenWheel Solutions, and has offices in London, New York, Boston, San Francisco and Hong Kong.
Core Compliance & Legal Services, Inc.
Core Compliance & Legal Services, Inc. (“CCLS”) specializes in providing compliance and risk management consultation services to securities broker-dealers, registered investment advisers, private funds, and financial professionals. With focus on the latest regulatory developments, CCLS provides practical solutions to the toughest issues facing the financial and securities industry today.
Datacert's Passport GRC is a comprehensive GRC management Solution used to assess regulatory/operational risk, manage and audit policies and controls, and monitor compliance.
DIVER’s platform supports Municipal Market Compliance. DIVER Advisor addresses the new Time of Trade Disclosure rule (MSRB Rule G-47) and Suitability determinations amendment (MSRB Rule G-19) recently approved by the SEC. Client-ready reports for every municipal bond capture required disclosure information and are easily customized to meet your firm’s standards and needs. Custom dashboard audit and reporting to help ensure organizational compliance with the firm’s policies and procedures and the newly enacted rules. The DIVER platform also supports obligations to asses, understand and monitor risk under Dodd-Frank.
DST Brokerage Solutions was established as one of DST's core business verticals to address the growing challenges in the marketplace for broker dealers, such as disjointed systems, inconsistent data records, high percentage of NIGOs, a lack of automated processing tools, and the increasing regulatory environment that puts firms at risk. DST Brokerage Compliance is a day 2 trade surveillance tool that delivers efficiency, surveillance and evidence with a comprehensive trade blotter, intuitive case management, core compliance tests, and a robust DST-managed advisor map. As a SaaS model, DST Compliance provides IBDs and BDs a cost efficient and comprehensive solution with quick speed to market. For more information, contact Charles Welsh (816.435.3765, firstname.lastname@example.org) or visit www.dstbs.com.
EAI's Web-based, modular system fully supports complex operations and sales functions. EAI's Compliance module provides the features and functionality to manage compliance across multiple business lines including Annuities, Mutual Funds/Securities and Insurance. EAI's Compliance module can be fully integrated to interact with the other EAI modules like Annuities or Insurance.
Erado is an innovator in electronic communication compliance for the financial services industry. Erado’s comprehensive suite of compliance solutions enables the capture, review, archiving, and journaling of all electronic communications and social media content including Google Plus, LinkedIn, Facebook, Twitter, and more. Since 1994, Erado has assisted organizations manage and enforce cost-effective compliance and retention policies. For further information, please visit our website www.erado.com.
EvenWheel Solutions is the software arm of HedgeOp Compliance, LLC which is part of The IMS Group, the leading global provider of regulatory compliance consulting services to the asset management and securities industry. We produce world-class compliance software applications for investment advisers, hedge fund managers, private equity managers and other financial firms.
At EvenWheel, building great products and offering the highest levels of customer support is our mantra. All of our product development and support is handled in-house and never outsourced ensuring that end-users get the most out of our robust compliance applications. From employee trading surveillance to day-to-day compliance monitoring, our software solutions can help greatly streamline your compliance infrastructure.
Fidessa's buy-side solutions cover every stage of the investment process, and every instrument you might want to trade. Our products are used by over 200 customers, from some of the largest investment managers in the world to the most agile and respected boutiques and hedge funds.
Our buy-side solutions include award-winning compliance with pre-and post-trade capabilities, portfolio management to handle diversified portfolios and innovative investment techniques -often supported by the increased use of derivatives and other complex instruments - and order and execution management tools that keep pace with an ever-changing landscape of new liquidity venues.
Fidessa's execution tools can also be deployed as a Buy-side Workstation for integration with internal and third-party order generation systems. The Workstation is delivered as a fully hosted, broker-neutral platform supplied with market data and trading integration via the Fidessa network. The network provides FIX connectivity between 2,650 buy-sides and 650 brokers across 160 global markets.
We’ve got compliance covered. Financial Tracking Technologies, LLC markets the only all-in-one compliance platform for public companies and the global investments industry. We are the leader in automated compliance solutions that enable regulatory protection and operating cost cutting. Clients include regulators, broker-dealers, mutual funds, money managers, hedge funds and public companies. FTT has earned the trust and commitment from some of the world's most renowned, top tier clients who have found FTT's patented compliance multi-tools to exceed the performance of our competitors. Our responsiveness and client support are unmatched and our staff is equally as committed to service excellence. Risk and compliance multi-tools also offered a la carte. Visit us at www.financial-tracking.com
Awarded 2006 Vendor of the Year, FIRE Solutions is the industry's choice for online learning, compliance needs and technology solutions. Our integrated solution includes securities exam prep, Firm Element CE, Insurance CE, annual compliance meetings and questionnaires, gift and entertainment tracking, and registration tracking. For a FREE demo: www.FIRESolutions.com, 1-866-ASK-FIRE.
First Southwest Company Correspondent Clearing Services provides industry-leading services for clients nationwide through it's ability to offer the customized focus of a local firm and the breadth of resources of a national firm.
Focus 1 Associates LLC is a premier provider of regulatory compliance services. Dedicated to assisting registered investment advisers with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940, we specialize in the areas of: Compliance Program Development, Monitoring, and Oversight; Mock SEC Examinations; Third-Party Compliance Reviews; New Adviser Setup; and Compliance Training. With unlimited consulting and tangible tools, our team of experienced professionals is committed to delivering practical, solutions-oriented assistance, tailored to your specific compliance needs. Whether you’re looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, or a practitioner to help you implement your compliance program, we’re your compliance team. www.focus1associates.com
Foreside’s customized solutions allow our clients to focus on asset management without sacrificing compliance best practices. We deliver regulatory compliance services to investment advisers of registered pooled products, and directly to open-end, closed-end and exchange-traded funds. We also provide alternative investment compliance services to advisers of hedge funds, private equity, and commodity interests, as well as to traditional institutional asset managers. Foreside’s services include providing a named fund CCO, supporting an adviser CCO, SEC registration assistance, compliance program design, implementation and testing, and vendor selection and oversight. For more information, contact Susan Chamberlain at (866) 251-6920 x21960 or at email@example.com.
Fox Rothschild LLP is a national law firm with more than 550 attorneys practicing in 19 offices coast to coast. We’ve been serving clients for more than a century, and we’ve been climbing the ranks of the nation’s 250 largest firms for many years, according to The National Law Journal.
Since its inception in 1976, Freeman, Freeman & Smiley, LLP has developed a nationally recognized law practice specializing in the areas of Real Estate Transactions and Litigation, Employment, Business Transactions and Tax Planning, Estate Planning, Securities Regulation, Commercial and Securities Litigation, Charitable and Non-Profit Organization Planning. Freeman Freeman & Smiley, LLP is a full-service law firm whose goal is to deliver results while remaining committed to the best practices and resources at reasonable rates. We are an efficient organization exemplifying excellence in service, value and results - providing big firm expertise with the accessibility and personal service of a boutique firm.
FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. Call 888-518-8070 or visit www.frontlinecompliance.com
Founded in 1999, Global Relay is the leader in cloud-based Compliance Messaging Solutions — including Archiving, eDiscovery, Search, Monitoring, Mobile Messaging and Collaboration. Global Relay Archive securely captures and preserves email, instant messaging (AOL, MSN, Yahoo!, GoogleTalk), BlackBerry, Bloomberg, Thomson Reuters, Pivot, YellowJacket, social media (LinkedIn, Twitter, Facebook) and more. Users also have easy access to messages via Global Relay Search for BlackBerry, iPhone, iPad, Android, Outlook and web. Global Relay Message provides businesses with the tools to communicate and collaborate while staying compliant — anytime, anywhere.
Global Relay’s 15,000 customers include broker-dealers, hedge funds, investment advisors and public companies, as well as 22 of the world’s top 25 banks and two public exchanges. For additional information, visit www.globalrelay.com, call (866) 484-6630 or email us at firstname.lastname@example.org.
Globanet is a leading provider of archiving, migration, and ediscovery solutions worldwide. Founded in 1996, the company is a pioneer in archiving and intelligent information governance, and has developed a portfolio of software and services r help organizations manage data from creation to expiry. Globanet’s proprietary solutions include Merge1 message capture platform and Migrate, Globanet’s competitive data migration software. Globanet’s staff has extensive experience with industry-leading Enterprise Vault and Clearwell. Globanet’s broad range of services includes policy and solution design, installation and configuration, data migration, custom add-ons, Designated Third Party (D3P) Services and project-based ediscovery consulting.
Haynes and Boone, LLP is an international corporate law firm with offices in Texas, New York, California, Washington, D.C., Mexico City and Moscow, providing a full spectrum of legal services. Our worldwide team includes more than 20 lawyers dedicated to counseling corporations and investment institutions concerning compliance in securities laws and SEC rules.
HedgeOp Compliance, LLC is part of The IMS Group, the leading global provider of regulatory compliance consulting services to the asset management and securities industry. Globally, The IMS Group has a staff of over 100 employees located in offices in New York, Boston, San Francisco and London and services over 600 firms. HedgeOp’s software development division, called EvenWheel Solutions, created world-class compliance software for investment advisers around the globe.
IA Compliance & Consulting provides regulatory and compliance services for investment advisors and private funds. We specialize in Registration Services, Web IARD/CRD administration, Compliance Manuals, Business Continuity Plans, Code of Ethics, Compliance Exams, Compliance Training, Regulatory Responses, and General Consulting. For more information call 832-559-8171 or visit www.iacomplianceandconsulting.com
IMP Consulting serves investment management firms, marrying regulatory expertise with technical experience. We are experts in the leading trade order compliance systems, helping firms automate their compliance libraries, organize and cleanse data, and create flexible, easy to use solutions that lower the cost of surveillance and reporting. Since 2004, IMP has worked with firms ranging from $2 billion to $3 trillion in AUM , including managers of mutual funds, private wealth, institutional funds and hedge funds, to design and implement strategic solutions . For more information go to www.impconsults.com or contact us at email@example.com.
Innova Learning is a leading provider of e-learning courses and solutions to the financial services industry. Innova combines high quality and interactive content to deliver role-specific e-learning that increases learner retention. Innova offers off-the-shelf and customized course development; mobile and hosting services also available. Visit www.innova-learn.com or call 888.388.5447.
Integral Consulting offers skilled, reliable, high-quality compliance services alternative to in-house resources for regulatory registration, and assistance with implementation and management of compliance programs. A true alternative to in-house resources offers a very high level of practical experience, know-how, contacts, and confidentiality. Clients must know that working with Integral is a more professional, less risky way to develop and manage compliance programs even than working completely in-house with their own people. Integral Financial, PC Consulting must also be able to maintain financial balance, with premium fees for its services, and delivering an even higher value to its clients with integrity.
K&L Gates LLP has approximately 1,700 lawyers who practice in 28 offices located in North America, Europe and Asia. We partner with financial services clients - including fund families, investment advisers, banks and broker-dealers - to assist with state and federal regulatory issues, compliance programs, compliance examinations, litigation and enforcement matters.
Lawrence, Kamin, Saunders & Uhlenhop, L.L.C. specializes in securities and futures regulation and litigation, and has represented members of the securities industry and futures industry for over 75 years. The Firm represents broker-dealers, FCMs, investment advisors, CTAs and other securities and futures firms, small and large.
We bring depth of knowledge and experience gained from years of hands-on experience in providing legal and compliance services to the financial services industry. Our experience is targeted to address the complex legal, regulatory and practical matters facing broker-dealers and investment advisers, on a timely and cost-efficient basis.
Over 850 financial services companies in more than 70 countries around the world turn to LIMRA first to help them build their businesses and improve their performance. These members rely on our 90 years of industry experience, along with resources in Research, Consulting, Assessment, Development, and Compliance and Regulatory Services to:
• Chart a clear course for the future
• Benchmark their competition
• Create new products, open new markets
• Add distribution channels—independent producer, bancassurance, and worksite
• Increase distribution productivity
• Assess, train and manage productive sales forces and distribution networks
• Meet the challenges of increasing regulation
• Identify and develop the next generation of leaders
And much more.
In a rapidly changing marketplace, companies call LIMRA first for our combination of industry insight, practical solutions, and unwavering commitment to their success.
LiveOffice is a leading provider of managed email archiving, email compliance, email discovery and Exchange hosting solutions. We process and protect millions of messages each day while helping organizations streamline operations and comply with a variety of regulations. For more information, call 888.251.3863 or visit www.liveoffice.com
Mallon & Johnson is a law firm based in Chicago, Illinois that conducts compliance audits for investment advisers, investment companies, and broker-dealers. The firm is comprised of former SEC attorneys from Enforcement and Regulation. Please contact Barb Mallon at (312) 346-8892 or at firstname.lastname@example.org.
Manhattan Advisers helps financial institutions worldwide meet the burden of evolving regulatory requirements by providing outsourced compliance, documentation, project-management, and HR services. In addition, the company offers a web-based compliance solution that seamlessly incorporates key legal and regulatory considerations into everyday functions and offers a toll-free Hotline for CCOs. The company also negotiates trading-documents, such as prime brokerage, futures, repo, and derivative agreements, and provides guidance on fund formation, regulatory interpretation, and operational process design. Please visit us at www.ManhattanAdvisers.com.
Markel Cambridge Alliance offers an Errors & Omissions Insurance program for Registered Investment Advisors (RIAs) and Investment Advisory Representatives (IARs). The program is available in all 50 states and is endorsed by several financial associations and custodians. Their experienced staff specializes in individualized service. Additional information is available at www.cambridgealliance.com or contact Tony Bougere, SVP Marketing at email@example.com or tel. 800-691-1515.
Boutique law firm representing every type of securities firm and professional in arbitration, compliance, litigation, regulatory and transactional matters. Legal and compliance assistance are often available on a flat-fee basis. For more information call us at (847) 675-1052 or visit www.maylawpc.net.
MCD Consulting provides compliance solutions and services to broker/dealers and investment advisors. We specialize in Independent AML Reviews, Continuing Education Services, New and Continuing FINRA Membership Applications as well as a wide array of services for RIAs.
Sensible Solutions. Exceptional Service.
Call 815-295-3994 or visit www.mcd-consulting.com
MIS (McDonald Information Service, Inc.) has provided the financial industry with information pertaining to the reliability of both retail and institutional accounts. We currently represent more than 4,000 financial institutions worldwide.
McGladrey is a leading provider of assurance, tax and consulting services focused on the middle market across the country and around the world. With more than 50 years of experience serving the financial services community, McGladrey professionals offer registration and compliance testing services to meet FINRA, SEC and CFTC obligations, while providing GIPS verification, product and technology due diligence and risk assessments. Experience the Power of Being Understood.SM
Mercer Consumer, a service of Mercer Health & Benefits Administration LLC, has been servicing the financial services professionals since 1982. Our insurance product offerings include Cyber Security Liability, Errors & Omissions, Directors & Officers, Fiduciary Liability, ERISA Bonds, Surety Bonds, and Fidelity Bonds for investment advisers, broker-dealers, mutual funds and hedge funds. Our dedicated team approach delivers best-in-class products and exceptional service. For more information please call us at 1-800-978-6273, email us at firstname.lastname@example.org or visit us online at www.riacoverage.com or www.brokerdealercoverage.com.
Morrison & Foerster LLP is a global law firm that delivers innovative, practical solutions to complex issues involving registered and un-registered funds and advisers, closed-end funds, business development companies and exchange-traded products. MoFo advises U.S. and non-U.S. investment advisers regarding their registration, disclosure and compliance obligations. We counsel all types of pooled investment vehicles, including private funds, commodity pools, venture capital, mezzanine and infrastructure, and we proactively advise mutual fund independent directors on all aspects of their fiduciary responsibilities. Our investment management practice is recognized by Legal 500 US and the U.S. News—Best Lawyers “Best Law Firms” Guide. MoFo was named Chambers Global 2013 USA Law Firm of the Year. www.bdiaregulator.com ::: www.mofo.com
NAPLIA is an independent, national insurance agency established in 1998 that provides professional liability/errors and omissions insurance and consulting services to Investment Advisors, Third Party Administrators, and Broker/Dealers. NAPLIA has been named to the Inc 5000, fastest growing private companies, annually since 2008. For more information, please visit our website at www.naplia.com
National Compliance Services, Inc. (NCS) has been a leader in the compliance and regulatory services industry since 1994. Our strength is providing reliable, efficient, and reasonably priced products and services for investment advisers, hedge funds, mutual funds, and broker-dealers. Our customized services are designed so you can work closely with an NCS consultant to structure a compliance program that is appropriate for your firm's unique regulatory needs. We provide a wide range of compliance and registration services, which can be viewed at www.ncsonline.com . If you have any questions please feel free to contact Chad Jones, National Compliance Services, National Sales Manager at 561-330-7645 ext 210 or by email email@example.com.
Nexgen is a leading provider of software solutions to the financial sector with over a decade of experience in various industry verticals. With award winning products and solutions for the alternate investment market, we have earned the trust of many leading fund managers and investment advisors. Learn more about our personal trade monitoring solution at www.nexgenus.com/cam
National Regulatory Services (NRS) is the nation’s leader in compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. NRS has the practical expertise, proven capability and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions through three interrelated offerings – comprehensive education, best-in-class technology and expert consulting services – enabling its clients to meet their regulatory requirements and minimize risk. NRS is part of Accuity, the global standard for optimal payment efficiency, compliant transactions, bank counterparty insight and AML screening success.
NAPLIA is an independent, national insurance agency established in 1998 that provides professional liability/errors and omissions insurance and consulting services to Investment Advisors, Third Party Administrators, and Broker/Dealers. NAPLIA has been named to the Inc 5000, fastest growing private companies, annually since 2008. For more information, please visit our website at www.naplia.com
Patrina hosts, designs, and delivers information management solutions that align with client business objectives and unlock business value. We support our clients and their technology initiatives by providing innovative solutions that enable them to organize their corporate information in a secure, accessible, and compliant manner. Patrina solutions and special features include: full-time and world-wide internet access to Patrina's VPN; a secure reliable four-tiered online data storage management strategy for the purposes of business continuity, permanence, selective restoration; advanced data indexing and query-generating capabilities; robust customer support services audit support, SEC 17a-3 and 17a-4 compliant data management service; automatic employee disclosure management and employee personal trade review solutions.
Pearson VUE is the global leader in electronic testing, providing a full suite of services from test development to test delivery to data management. Pearson VUE offers exams through the world's largest network of test centers in 162 countries, providing testing services for regulatory and certification boards, as well as information technology, academic, government and corporate clients.
Pepper Hamilton lawyers assist clients with a full range of legal and compliance matters and have deep experience in such areas as securities enforcement and litigation, investment management, information security and privacy, and white collar and corporate investigations. For more information on our more than 500 lawyers in 11 offices, please visit us at www.pepperlaw.com.
Since 2004 PLCG has been providing specialized insurance solutions to the financial services sector. Over the years we have become the endorsed insurance broker of numerous associations in the financial community, and for good reason. Our brokers are Accredited Investment Fiduciaries (AIF) who work closely with clients to gain a better understanding of the risks they face and how to cover them in the most comprehensive and cost effective manner. Whether you are an RIA, Broker-Dealer, Family Office, TPA , Mutual Fund or Hedge Fund we have “A” rated carriers to insure the business you’ve worked so hard to build. As a full service broker we provide E&O, D&O, Cyber Liability, Bonds, Property, General Liability, Workers Comp and Employment Practices Liability Insurance to firms in all 50 states.
PwC focuses on audit and assurance, tax and consulting services. Additionally, in the US, PwC concentrates on 16 key industries and provides targeted services that include — but are not limited to — human resources, deals, forensics, and consulting services. We help resolve complex issues and identify opportunities.
PwC’s Financial Services Regulatory Practice assists top tier financial institutions in navigating, managing and implementing change driven by legislation regulation and supervisory expectations. Our U.S. Regulatory Practice consists of over 25 partners and 250 professionals across banking, asset management and insurance - most of whom were in leadership and supervisory roles at the major regulators (Fed, SEC, OCC, CFTC, CFPB, UK FSA) and/or in regulatory-related roles in industry. www.pwcregulatory.com
Over the past 20-plus years, Quest CE has built a reputation of being the premier provider of Compliance Education to the financial services industry. In addition to offering Third Party Administration for insurance continuing education (CE) and online/self-study programs Quest offers Firm Element Training, Insurance Prelicensing, Securities Exam Prep, Anti-Money Laundering Training and a full spectrum of products to meet your Compliance needs. For more information, go to our website at www.questce.com or call us at 877.593.3366.
Red Oak Compliance is a full-service compliance consulting firm helping Broker-Dealers and Investment Advisers with their registration, compliance, and supervisory needs. We are passionate about our clients and love feeling a part of their business. We get excited with every referral.
RegEd, a StoneRiver Inc. company, is a leading provider of technology solutions for compliance and risk management serving over 800 enterprise clients including 80 of the top 100 financial services firms. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based compliance automation for broker-dealers, investment advisors, insurance companies and their distributors. Our client-driven solutions deliver superior operational efficiency and enable firms to cost-effectively comply with state and FINRA regulations while mitigating risks before they occur. For more information, please visit our website at: www.reged.com
RegMaven’s services are built from the expertise it delivers to clients – sound compliance infrastructure. The principals at RegMaven have recognized that financial services firms today – specifically broker-dealers and registered investment advisors - are occasionally in conflict with their compliance departments regarding what can and cannot be done while operating a revenue generating enterprise. For this reason, RegMaven has built its compliance consulting services with the client’s business in mind; ‘Where Compliance Meets Business’. It is imperative that that these two core functional areas understand and appreciate one another; operating proficiently together, the business will achieve the vision of its principal(s).
RegMaven facilitates this unification with the launching of a suite of services:
1) - SEC and FINRA Compliance Consulting, Exams, and Procedural Testing;
2) - Compliance Outsourcing and Support Services;
3) - Enterprise Valuation Business Assessment and Consulting;
4) - Financial Services Permanent / Contract Recruitment
Our consultants work closely together with your team to build a unified culture where each business unit is working towards a common goal: growing in value being both profitable AND compliant.
If you are interested in reviewing how well your enterprise is functioning, not entirely confident you have a secure understanding of your regulatory framework and are looking to improve the overall performance of your team and business, contact RegMaven to learn more about our suite of Compliance and Business consulting.
Providing Compliance and Business Consulting services in a clear, logical and tailored approach for financial services firms. Regulatory Compliance offers ongoing compliance services to Broker-Dealers, Registered Investment Advisers, and Hedge Fund Managers through our PartnerPrograms, Regulatory Examinations and Testing, FINOP services, Registrations, Business Assessments, and more. For over 23 years, our highly trained and experienced staff, along with our strategic alliances, have been able to help keep firms in Compliance and even allowing them to branch out by "Going Independent". For additional information please visit us online at www.regulatorycompliance.com or call 1-888-REG-COMP (734-2667).
Renaissance Regulatory Services, Inc. (RRS) provides comprehensive compliance and operational consulting and compliance support services to broker-dealers, investment advisers, hedge funds, and investment companies. Specializing in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, financial reporting, and registration services, RRS’ staff has the experience and insight to meet all your regulatory and compliance needs. Services are customized to your organization’s operations and in most cases performed on site. RRS’ consultants and partners consist of former regulators and compliance professionals.
Romeo & Chiaverelli LLC, Certified Public Accountants
Accounting, audit, taxation and consulting services to the securities industry since 1980 including monthly accounting services and focus reports. Also serves as FINOP.
SDDCO CPAs and consultants provide comprehensive outsourced support to broker-dealers and advisers, including firm registrations, monthly accounting and supervision, and a full suite of regulatory compliance services.
New York (HQ) :: 485 Madison Avenue Floor 15 :: New York, NY 10022 :: T (212) 751-4422
Boston :: 50 Congress Street, Suite 6 :: Boston, MA 02109 :: T (617) 523-0376
Philadelphia :: 500 Swedesford Road Suite 104 :: Wayne, PA 19087 :: T (484) 431-3873
SEC3 provides compliance consulting services to financial institutions globally including investment advisers, investment companies, hedge funds, broker-dealers, and transfer agents. SEC3 can work with you to adequately address all of your regulatory compliance needs and bridge the gap between your operations and the regulations. For details, please visit www.seccc.com or contact Janaya Moscony at 610-415-9261 x 114.
At SiteQuest, we provide a variety of products that are built to support the compliant use of social media and websites for a variety of industries like banking and finance and the direct sales market.
Strategic Compliance and Governance, LLC
Gone are the days of stand-alone brokerage firms, investment advisers, banks and mutual funds. Yet each business lines’ regulator does not necessarily acknowledge the boundaries designed to encapsulate policies and procedures. We believe fundamentally that the core of a successful business is a value-driven strategy. That’s why Strategic Compliance & Governance provides risk-adjusted compliance resource management as its core service. We specialize in large, complex enterprise-wide compliance strategies and processes. www.SCandG.net
Smarsh is a leading managed service provider of innovative, secure and reliable email archiving solutions for compliance and records retention, legal e-discovery and litigation readiness, and mail server data management. Founded in 2001, the company has built its trusted reputation by handling the sophisticated archiving needs of the financial services industry, and has produced a flawless regulatory audit track record to show for it.
Solomon Exam Prep has helped thousands of financial professionals pass their Series 6, 7, 63, 65, 66, 24, 26, 51, 52, 53, 55, 62, 79, 82 and 99 licensing exams. Solomon’s study solutions include online and print exam study guides, online exam simulators, audiobooks, and on-demand classes to ensure your representatives pass the first time. Raise your firm’s pass rates and lower your costs with Solomon!
StarCompliance focuses on providing industry leading compliance and regulatory solutions for the financial services industry. Our software is a fundamental part of the Compliance departments in over 70 financial institutions globally. Our user friendly, flexible and configurable system ensures compliance is carried out easily, thoroughly and flawlessly. For more information, email us at firstname.lastname@example.org or contact us at (888) 791-8526.
Starkweather & Shepley Insurance, founded in 1879, provides specialized risk coverage to the investment industry. In addition to providing Directors & Officers Liability, Errors & Omissions Liability, and ERISA/Fidelity bonds, we are a full service insurance agency which allows “one stop” shopping for all your insurance needs. This includes Business Office Package Policies, Employee Benefit Insurance, Workers Compensation and all the required coverages pertinent to financial advisors, hedge fund, mutual fund groups and Securities Broker/Dealers.
Protegent provides a suite of integrated solutions that automate the regulatory compliance needs of financial institutions. Protegent applications provide transparency into firm’s organizational data while helping them to enforce and document their compliance policies and procedures. Protegent’s suite of applications provides regulatory automation of: social media review, personal trading oversight, market abuse, best execution, reg NMS, OATS, sales practice and suitability surveillance. www.sungard.com/protegent
Sutherland delivers answers to broker-dealers, investment companies and investment advisors. We draw upon the experience of more than 450 lawyers in cities throughout the U.S. If you need help managing an SEC, NASD, NYSE or state compliance or enforcement matter, please contact us at www.sutherland.com.
Focusing on your firm’s unique employee trading and monitoring needs through a consultative, best practices approach, TD Ameritrade’s Designated Brokerage Services’ comprehensive solution combines leading edge technology with highly experienced service teams in order to help mitigate risk while ensuring the best possible experience.
To learn more about the TD Ameritrade difference and how we can help you manage your firm’s specific compliance reporting requirements, contact Frank Pezzello at 516-240-2013 or Frank.Pezzello@tdameritrade.com, or visit us at www.tdadesignatedbrokerageservices.com.
TD Ameritrade, Inc., member FINRA/SIPC/NFA. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Used with permission
TeamMate Broker Dealer Audit System (TeamMate BD) is a comprehensive compliance solution for managing and executing all aspects of broker-dealer examinations. TeamMate BD contains up to date Rules and Regulatory Notices from regulatory bodies including SEC, FINRA, and the NYSE to ensure proper planning and execution of branch office examinations.
TeamMate BD is a complete Audit Management Documentation System that includes:
• Web Based Questionnaires
• Interview Checklists
• Detailed Audit Steps tied to underlying SEC, FINRA and NYSE rules and regulations
• Automatic Violation Report Drafting
• Complete Violation Correction Tracking System
For more information or a product demonstration, call 1.888.830.5559 or visit
TerraNua is a leading provider of risk and compliance technology solutions. The flagship solution, MyComplianceOffice enables automation of a broad range of compliance activities and provides an unparalleled ease of use in its approach to monitoring the activities of a compliance program. TerraNua’s recently launched MySuitabilityOffice saves time and money for client firms by automating customer suitability policies and procedures against a firm’s customer and trading data.
Since 1957, Liftman Insurance has focused on providing insurance for the investment community. We offer Professional Liability and Directors & Officers Insurance, Data Security & Privacy Liability, Fidelity, ERISA and State Surety Bonds, as well as Employment Practices Liability to investment advisors, mutual funds, hedge funds, and broker/dealers. For more information, call 617-439-9595 or visit www.liftman.com
Thirteen Networks was founded by Justin Kapahi in 2010 as boutique IT consulting firm specializing in the financial services sector. In 2011, Thirteen Networks shifted focus and now specializes in delivering a private-hybrid cloud solution to the financial services industry. Thirteen Networks previous expert-level experiences with virtualization, remote access, security, storage, and compliance provide a strong foundation for delivering cutting-edge cloud services.
Thomson Reuters Accelus Solutions provide powerful tools and information that enable actionable insight, dynamic connections,and informed choices to drive business performance. Thomson Reuters Accelus products combine market-leading solutions from names you already know and trust including Complinet, Paisley, Oden, Westlaw Business, West's Capitol Watch and Westlaw Compliance Advisor. For more information please contact us at 1 646.223.8930.
Truphone is guided by a vision of how international communication should work. We want it to be accessible, flexible and available for everyone, everywhere. We innovate endlessly towards that goal.
Innovation isn't just part of Truphone's future though; it's our history too. In 2006, inventor James Tagg grew tired of having poor mobile reception at his farmhouse in Kent and created the first VoIP app for mobiles as a solution. That's how Truphone was founded and we've been finding real solutions to communication challenges ever since.
And we're not finished yet.
Ulmer & Berne, established in 1908, is a full-service Midwest regional firm with 175 attorneys in Cleveland, Columbus, Cincinnati and Chicago. Ulmer & Berne represents publicly traded and privately held companies, financial institutions, pharmaceutical companies, family businesses, international joint ventures and affiliations, investor groups, start-ups and emerging businesses, public bodies and nonprofit organizations. The Firm has been recognized by its clients on the 2011 “BTI Client Service A-Team,” as an unparalleled leader in client service among law firms.
Vigilant Compliance, LLC is a full service Global Compliance Firm servicing the regulatory needs of a diversified range of investment management clients. Since 2004, Vigilant has been the leader uniting regulatory compliance, legal, financial expertise and is paving the way to the Global Market for our clients.
Vigilant is currently serving as CCO for Multi-Billion dollar Funds and Advisers. Our Clients include Registered Investment Companies, Federally Registered Investment Advisers, Business Development Companies, Broker/Dealers and Private Equity Firms.
Vigilant provides Compliance Support and Testing for Investment Advisers, Funds, and Broker Dealers. For more information please visit http://vigilantllc.com/
A Heritage of Excellence and Service
Since the earliest days of our two predecessor firms, WilmerHale has played a leading role in historic events and landmark cases that have shaped the nation and left their mark across the globe. In matters ranging from the Army-McCarthy hearings to the legal defense of civil rights, from the 9/11 Commission to the restoration of the rule of law in apartheid-torn South Africa, our lawyers have been privileged to make contributions that have profoundly affected our society and our profession.
Wolters Kluwer Financial Services is a leading provider of content, technology, and services for compliance and risk management professionals for banking, securities, and insurance. CCH Wall Street, a part of Wolters Kluwer Financial Services, is the most comprehensive and trusted source offering compliance tools addressing written supervisory procedures, investment adviser compliance and employee personal trade surveillance.