Karl Hartmann—Publisher of 40Act.com, a ’40 Act legal and compliance research resource. With over 35 years’ legal, compliance and operations experience with advisers, mutual funds, hedge funds and banks, Karl is a trustee of several ETFs, consults; serves as an expert witness; and enjoys teaching at Boston’s Suffolk Law School.
Get Answers, not search results!(TM)
ACA Compliance Group is a global leader in providing compliance, GIPS® verification and performance, and technology solutions to financial services firms. ACA is based in New York City and has offices in London, Hong Kong, Rio de Janeiro, Boston, Chicago, Los Angeles, and other U.S. cities. For more information, 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 Compliance Services, LLC, is a leading provider of regulatory compliance solutions serving the needs of a broad spectrum of investment management clients. Founded in 2004, the Alaric team is comprised of former regulators, in-house compliance officers and attorneys with offices in NYC, Washington D.C., Chicago and LA. Visit www.alariccompliance.com.
AML Audit Services, LLC (“AMLAS") is an Anti-Money Laundering consulting firm, comprised of certified AML specialists with an expertise in independent testing. Whether you are a BD, mutual fund, or investment advisor, our extensive knowledge of AML compliance requirements and best practices in multiple sectors enables us to create a custom approach for each unique business model. To learn more, call AMLAS toll-free at 800-870-8076 or visit www.AMLAuditServices.com
aosphere LLP is an affiliate of leading international magic circle law firm, Allen & Overy LLP. We specialise in providing user-friendly online subscription services covering complex legal areas such as shareholding disclosure, cross border marketing and data privacy. Please visit www.aosphere.com for more information and a free trial.
10% discount for NSCP Members
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 http://www.asgardcompliance.com or contact us at 631-801-2900.
BasisCode Compliance is an enterprise compliance and audit platform that provides investment advisers and broker/dealers an integrated suite of multiple rules-based compliance functions. Centralized and intuitive, our solution spans functionality, from testing and risk assessment to personal trading and certifications, all within a unified solution.
For more information, contact us at 678-819-1991, at firstname.lastname@example.org or visit us at www.BasisCode.com
The Bates Group is a leader in securities litigation support, regulatory response, expert testimony and compliance solutions. Bates Regulatory and Compliance Group's roster of compliance professionals, legal officers and regulators has decades of experience managing compliance, regulatory and related issues for BDs, IAs, funds, banks, and other financial services providers. www.batesgroupllc.com
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 a global community of more than 125,000 investment professionals working to build an investment industry where investors’ interests come first, financial markets function at their best, and economies grow.
CFM Partners, Inc.
CFM Partners, Inc. is a Governance, Risk and Compliance (GRC) company based in Washington, DC. We provide comprehensive cloud-based policy management, education, regulatory monitoring and compliance solutions to the financial services industry. As a knowledge-based company, we understand the industry, its regulatory environment and the importance of putting the right information into the right hands at the right time. The combination of our industry expertise and innovative technology allows us to deliver comprehensive solutions for effective compliance program management.
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.
The Cirius Secure Messaging platform enables professionals to send, receive and track confidential email and attachments on any device, anytime, anywhere. Protect data, meet compliance requirements and speed up workflow with innovative secure corporate messaging. Features like ForwardFreeze, For Your Eyes Only and message tracking drive adoption and exceed expectations.
Citrix ShareFile is a file-sharing tool that helps people exchange large files easily, securely and professionally. Built specifically for business, ShareFile offers security for data transfer and storage, customized usage and branding solutions, award-winning customer service, and mobile apps and tools that allow you to easily access and share files from any device—anytime, anywhere.
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 Advisers is a highly successful, full-service, boutique regulatory compliance consulting firm founded in 1989 that specializes in offering Customized Compliance Solutions™ to securities firms throughout the U.S. In addition to Expert Consulting, our services include IA and BD (1017) Registration Applications, Ongoing BD & IA Compliance, Mock Exams, AML Testing, CCO and FinOp Outsourcing and Customized WSPs.
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/
Complyport are experts in financial services, with extensive knowledge of financial services compliance, governance and regulation worldwide.
We have a dedicated team of consultants covering the UK, Europe, North America, the Middle East and the Asia-Pacific region. With members of staff drawn from regulators, qualified legal advisors and accountants, as well as consultants with decades of experience gained from a range of other firms and backgrounds. www.complyport.co.uk
Cordium is the leading global provider of regulatory compliance consulting, software and accounting and tax services to the asset management and securities industry. Today, Cordium has offices in London, New York, Boston, San Francisco, Malta?and Hong Kong. Our asset management and securities sector focus means we always bring direct, relevant experience to advising our clients, helping them to meet their compliance and regulatory challenges and turning regulatory compliance into a must-have business advantage. With Cordium, the process of meeting regulatory demands can make a positive contribution in the drive towards business excellence, not merely fulfilling an obligation. This turns compliance from a ‘have-to-have’ into a ‘must-have business advantage’. Regulatory compliance is changing and we are spearheading the change.
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.
DataSurer LLC is an independent commercial insurance agency specializing in cyber insurance for small and medium businesses (SMBs). We have access to policies from many well known top A-rated insurance carriers that protect your business from the costs and consequences of a cyber attack. Let our experts in technology and insurance give you the peace of mind that your organization is covered in case of a cyber attack.
The law offices of Dew, Foxman and Haugh’s securities practice offers premier securities law expertise and regulatory capabilities. We are a results-oriented law firm and our firm is recognized for its experience in investment management, broker-dealer and financial services regulation. Based in Delray Beach, Florida our team has extensive expertise in advising firms and individuals in a wide range of issues, including regulatory, compliance, enforcement, and transactional matters.
Lumesis, Inc. is a financial technology company focused on providing best-in-class regulatory and compliance solutions to the municipal bond marketplace. The DIVER platform is helping hundreds of firms and over 42,000 users efficiently meet evolving regulatory needs. Our solutions include:
- DIVER Underwriter – DIVER Underwriter is a comprehensive platform to support diligence requirements and increase Underwriters’ efficiency, allowing firms to meet regulatory obligations and increase business opportunities. This solution is integrated into the Underwriter’s workflow enabling them to efficiently perform required 15c2-12 diligence consistent with their firm’s policies and procedures so that regulatory compliance does not limit the number of deals they bid. Post-MCDC 15c2-12 Diligence and Workflow Solution
- DIVER Advisor – Our clients use DIVER Advisor to satisfy MSRB Time of Trade Disclosure (G-47), Supervision (G-27) and Suitability (G-19) rules for all new issue and secondary municipal bonds for retail and non-SMMP clients. Advisor offers a simple way to access required information for disclosure and to memorialize the actions taken. It also provides a portfolio surveillance tool and a simple way to deliver credit notes and research relevant to the position of interest.
DST has deep penetration in the brokerage industry, with solutions designed to address the growing challenges and evolving regulations that broker-dealers face. We offer full-service clearing, custody, and execution services for independent broker-dealers looking to operate more efficiently and grow their firm's business. DST complements these services with an array of advisor desktop tools, enterprise workflow automation and home office oversight and risk controls. Our solutions help broker-dealers better service their clients, increase process efficiency and reduce operational risk. To learn more, visit www.dstsystems.com/brokerage.
ExamFX is the leading provider of online prelicensing exam preparation for the Insurance and Financial Services industries. Streamlined content, state-specific and testing provider-specific simulated exams, live webinars, virtual flashcards, videos, and mobile apps. Series 6, 63, 7, 65, 66, 24, 26, Life & Health, Property & Casualty, and Continuing Education.
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.
Financial Registrations, Inc. is a regulatory compliance consulting firm providing registration, compliance and risk management solutions to the financial services industry. With former regulators and industry professionals on staff, we offer a full array of talent and experience necessary for handling the most recent and complex issues. For more information, please call toll-free at (800) 641-1818 or visit www.financialregistrations.com.
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.
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
Fund Compliance Services employs integrated services and technology to deliver a single-source solution for fund compliance. Simplifying fund maintenance across securities regulations, entity compliance, and SEC reporting – FCS’s senior securities professionals deliver a full-service, seamless compliance solution. FCS also provides fund dashboards and regular updates so you are always aware of the status and changes happening within your fund portfolio.
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.
Global Trading Analytics, LLC
Global Trading Analytics (GTA) is a transaction cost analysis firm which offers custom, web-based Trading Cost Analysis and Best Execution reporting. GTA works in multiple global markets including Equities, Foreign Exchange, Fixed Income and Futures & Options. GTA has developed proprietary methodologies which measure trading costs within the correct context. Clients receive accurate, transparent and well-defined results which enable them to manage their implicit trading costs with ease. In addition, the web-based reporting structure allows customers to access their results like never before with complete drill-down functionality.
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.
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 analyze, test, enhance, and report the accuracy of compliance libraries through the CLEAR (Compliance Rule Library Enhancement & Audit Review) Program. Since 2004, IMP has provided industry know-how to 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.
INTL FCStone Financial Inc. - Correspondent Clearing
The Correspondent Clearing group of INTL FCStone Financial Inc’s Broker Dealer Division (“IFCF”) provides best execution, custody and clearing services to mid-sized broker-dealers and investment advisers. Execution services are provided by INTL’s professionally managed trading desks. Clearing, settlement and custody are provided by Pershing, a BNY Mellon Company. Due to our relationship with Pershing, we are able to provide top tier clearing, custody, systems and products with lower revenue and AUM requirements, lower clearing costs along with a more responsive relationship management experience. IFCF is a member of FINRA/SIPC and registered with the MSRB.
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.
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.
Markel Cambridge Alliance, a Markel Specialty program offers E&O Insurance for RIAs and FPAs. Since 1989, it has established a strong reputation as a result of its industry expertise, stable premiums, & excellent claims management services. Specialty in policy customization & risk mitigation strategies. New optional coverage for cyber liability.
The MARS product suite transforms big data into market intelligence and allows you to perform sophisticated business analysis, trending and reporting to increase your insights and grow
profitability. MARS provides:
- Flexible and Dynamic sales and asset reporting with native, integrated CRM for mutual funds, managed accounts, insurance, alternatives, and ETFs;
- Real-time, bi-directional sales and asset data integration with Salesforce® CRM to improve your ability to measure sales effectiveness and perform sophisticated marketing campaigns;
- Innovative mobile app providing advanced contact, activity, mapping, analytics and sales reporting information;
- Seamless third party data integrations with RIA data and competitive market providers;
- Comprehensive Channel and Territory configuration management;
- 22c-2 & Prospectus Compliance Management;
- Data aggregation/reconciliation/cleaning/stewardship services to ensure accurate trade resolution including Omni/SERV and omnibus account reconciliation;
- Application Hosting and Business Resumption Services;
- Dependable partners providing industry knowledge and expertise to the asset management industry for over 15 years.
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 is the world leader in providing risk management and customized insurance solutions. We are consistently recognized as the leading provider of insurance solutions to the securities and financial services industries and have been a FINRA® insurance program administrator for more than three decades. With our best-in-class practices, you’ll get an unmatched depth and breadth of services.
Mesirow Insurance Services is one of the nation’s largest insurance brokerage firms focused on Financial Institutions. Our insurance professionals have the expertise needed to procure coverage to protect both corporate and personal assets (including Directors & Officers, Fund Management and Professional Liability, Employment Practices & Fiduciary Liability, Fidelity & ERISA Bonding). For more information: Craig Goesel at 312-595-8146 (email@example.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
Moss Adams is one of the 15 largest accounting firms in the United States. Founded in 1913, we offer audit, tax and consulting services to over 550 financial services companies. Additional services include PCAOB standards compliance, SEC and other regulatory compliance, as well as cyber security preparedness. For more information, please visit our website at www.mossadams.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 firstname.lastname@example.org.
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.
Oyster Consulting was founded in 2008 with the belief that experienced industry practitioners can add more value to our clients than career consultants. Oyster provides comprehensive consulting to financial services firms. Our team of professionals with highly-integrated industry knowledge and deep functional expertise help our clients start, grow, run and protect their business. www.oysterllc.com
PaperClip is a leader in the financial services industry providing vcf4Securities & vcf4Compliance.
These services embody the best user experience with features that remove paper from the business process and addresses SEC & FINRA compliance.
One vendor with 25 years in business that focuses on your goals, going paperless in this changing world.
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.
Patten Training & Review LLC specializes in training and compliance for the Financial Services industry. We currently teach all FINRA, NYSE, MSRB, NFA and NASAA Series exams, in addition to providing regulatory compliance solutions. Compliance solutions include FINOP services, CCO services, and custom content development. Call today 281-419-6030 or email@example.com or www.pattentraining.com
Pearson VUE, delivers computer-based testing for many top financial services industry programs including NSCP’s CSCP certification.
Whether you need state licensure, FINRA qualification exams, or one of the many advanced designations to advance your career, Pearson VUE offers the best service and environment for your testing needs. Visit PearsonVUE.com.
Pension Resource Institute (PRI) is a consulting firm that provides broker-dealers and registered investment advisors with a solution to your ERISA compliance, training and supervision needs.
- PRI’s compliance support provides template forms and agreements to paper retirement plan accounts, policies and procedures to support approved retirement plan services and unlimited call support for your home office compliance staff
- PRI’s training library includes customized offerings designed to support home office personnel, registered representatives who are new to the ERISA marketplace as well as advanced retirement plan advisors
- PRI’s supervision tools include GMAP and GMAP +, a cloud-based platform to help plan sponsors streamline information-gathering, analysis, decision making and documentation.
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.
Quest CE is the premier provider of compliance management solutions to the financial services industry. In addition to offering on-demand Firm Element and Insurance continuing education, Quest CE provides a complete spectrum of proprietary technology services for managing compliance and risk exposures. From its multifaceted licensing and registration system, Bridge, to its mobile-compatible branch audit management tool, Quest CE’s web-integrated solutions enable firms to host, manage and supervise their securities training and tracking procedures from one secure, centralized location.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. For more information on Quest CE, visit www.questce.com.
15% discount to all NSCP members
Red Oak, a leader in financial services Advertising Review, is helping reduce risks and lower costs with their AdMaster subscription software. AdMaster is compliant, easy to use, and highly configurable. Contact us to discover why investment advisors, private equity firms, broker-dealers, insurance companies and banks are all switching to AdMaster.
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
10% discount to all NSCP members on new contracts
Regulatory Compliance is the leading provider of comprehensive regulatory compliance services for broker-dealers, investment advisers, hedge funds and other financial services firms. For more than 25 years, Regulatory Compliance has customized its services to the needs of each of our clients, and delivered them through our highly trained and experienced staff. Whether your firm needs Registration Support, Outsourced Compliance Consulting or CCO Services, Exams and Testing, Policies and Procedures, FinOp services, Customized Procedures and Policies, Cybersecurity Assessments, and more, Regulatory Compliance can meet your needs. For additional information, please visit us online at RegulatoryCompliance.com or call 1-888-734-2667.
Regulatory Ridge, LLC is a legal and compliance consulting firm that specializes in determining how securities rules and regulations affect your particular business model, and provides the support you need to meet your organization's regulatory requirements. For more information, visit www.regulatoryridge.com or call us at (720) 612-7338.
Renaissance Regulatory Services, Inc. (RRS) provides comprehensive compliance consulting and 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 each organization's operations, and in most cases performed on site. RRS' consultants and partners consist of former regulators and compliance professionals.
RRS has also served as the independent compliance consultant in connection with several SEC, FINRA, and State regulatory undertakings, and is available to serve as the IC in connection with the SEC’s MCDC initiative.
RND Resources, Inc. is a full-service compliance consulting firm helping investment advisers, banks, broker-dealers, hedge-funds, private equity groups, and insurance agencies meet their regulatory responsibilities. Our team of experts work closely with your business to provide outsourced solutions for regulatory compliance, registration, audits, and consulting advice.
Look to RND for risk assessments, on-site branch office audits, anti-money laundering audits, FINOP services, and all compliance and registration needs.
PCAOB registered and a member of AICPA with offices in Los Angeles and New York.
Here to help with SEC and FINRA regulatory requirements since 1984. Visit www.finracompliance.com for more details or call us at (818) 657-0288
Download our services brochure: http://www.finracompliance.com/services/
Scitus Consulting is a boutique consulting service provider specializing in:
- Risk Assessment under SEC Rule 17-h.
- Assessment of risk factors of Broker-Dealers, Registered Investment Advisers and FCM including cyber security risk factors.
- Experience with SEC, FINRA, CFTC, NFA, FDIC, FSOC, FSA (UK) and other regulatory agencies.
Scitus Consulting LLC :: 11654 Plaza America Dr. Ste 260 :: Reston, VA 20190
Telephone: 703-988-6858 :: Website: www.scitusconsulting.com
Formed 1952, The SDDCO Group (www.sddco.com; New York, Boston, Miami) delivers outsourced professional support—remotely and onsite—to US broker-dealers, private funds, and investment advisers.
SDDCO services include new entity registrations, accounting, regulatory compliance, independent AML testing, CFO, FinOp and CCO roles.
Visit SDDCO CPAs & Consultants or contact 212-751-4422 or firstname.lastname@example.org.
SiteQuest Technologies has over 15 years of experience in creating and enhancing compliance applications used in the financial services industry. Our “compliance first” mentality is the driving force behind our innovative solutions like Eagle Eye, a web supervision tool designed to replace manual web searching processes used to supervise the web presence of employees, associates and representatives. http://sitequesttech.com/eagle-eye/
Established in 1981, SmartPros (NASDAQ-CM: SPRO) is a leading provider of accredited professional education and compliance solutions to Financial Institutions and Fortune 500 companies. SmartPros Branch Audit Management System (AMS) is a robust online audit platform that supports all size Broker-Dealers. SmartPros AMS currently services organizations with over 26,000 advisors, 8,000 branches, and used daily by over 200 auditors and staff.
Solomon Exam Prep has helped thousands of financial professionals pass their Series 6, 7, 62, 63, 65, 66, 24, 26, 27, 28, 51, 52, 53, 55, 62, 79, 82 and 99 licensing exams. Solomon’s study solutions include Digital and Print Exam Study Guides, Online Exam Simulators, Audiobooks, and Video Lectures to ensure that your students pass the first time! Based on learning styles and memory research, Solomon’s study solutions are designed for easy consumption and maximum retention. Raise your firm’s pass rates and lower your costs with Solomon! http://SolomonExamPrep.com
Solutions Atlantic is a market leader for shareholding disclosure automation. For more than a decade, its Regulatory Reporting System has been at the forefront of global shareholding disclosure. Supporting regulatory rules for over 85 jurisdictions, RRS leads the way in complete workflow automation including; monitoring, alerting and generating required disclosures. www.solutions-atlantic.com
About SunGard Financial Systems
SunGard Financial Systems provides mission-critical software and IT services to institutions in virtually every segment of the financial services industry. The primary purpose of these systems is to automate the many detailed processes associated with trading, managing investment portfolios and accounting for investment assets. These solutions address the processing requirements of a broad range of users within financial services, including asset managers, traders, custodians, compliance officers, treasurers, insurers, risk managers, hedge fund managers, plan administrators and clearing agents. In addition, we also provide professional services that focus on application implementation and integration of these solutions and on custom software development.
TerraNua is a leading provider of risk and compliance technology solutions. MyComplianceOffice enables automation of a broad range of compliance activities, including personal trade and conflict of interest activities, and provides an unparalleled ease of use in its approach to monitoring those activities. The MySurveillanceOffice solution enables organizations to monitor a range of activities of transactional activity including trading in addition to more static data such as customer information to protect the firm from a range of trading, suitability and other surveillance risks.
Thomson Reuters helps organizations to manage their business more effectively by providing the intelligence and tools needed to make informed business decisions based on risk and opportunity. Thomson Reuters Accelus delivers market-leading solutions for enterprise GRC management, policy management, global regulatory intelligence, financial crime/anti-money laudering (AML), Know Your Customer (KYC), anti-bribery and corruption, supply chain risk, enhanced due diligence, training and e-learning, and Board of Director and disclosure services. Thomson Reuters, 3 Times Square, 17th Floor, New York, NY 10036. Phone: +1 646.223.4000. Contact Sales: http://accelus.thomsonreuters.com/contact-sales
Thornton and Associates, LLC provides customized compliance, FinOp and anti-money laundering services to FINRA Broker Dealers and Registered Investment Advisors. Our firm was founded and is staffed by former NASD/FINRA examiners and compliance professionals. For more information about our customized compliance services, please visit our website at www.thorntonandassociates.com or contact us at (877) 542-6759.
Vertafore makes compliance simple by automating interactions between insurance carriers, securities firms, distributors, and regulators. Our Sircon solutions help you manage your entire producer lifecycle, from onboarding to termination—quickly, accurately, and efficiently. Keep business moving forward: rely on Sircon to reduce paperwork, speed time to revenue, and make it easier to sell.
Verus Consulting Group LLC was founded to help meet the ever changing industry demands and provide professional consulting resources that are focused on the financial industry. The firm provides responsive, straightforward, and personal service to each of its clients. The firm’s directors have 30 plus years of a diverse financial industry background enabling them to understand the client’s needs and provide the proper resources for your project. For more information, please visit our website at verusconsulting.net
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/.
About Wolters Kluwer Financial Services