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.

Cardinal Compliance Services
Cardinal Compliance Services LLC is an outsourced regulatory compliance solutions group, providing services to Investment Advisers, Hedge Funds, Broker Dealers, and other investment structures. Cardinal Compliance was established to specifically address the unique requirements of the “New Era of Compliance,” emanating from the aftermath of the Madoff fraud scandal.

Center for Compliance Data Testing
The center is an independent trusted partner for on demand testing, historical data for exceptions against compliance policies, and procedures. Our forensics laboratory consists of technology and data required for testing methodologies that yield regulatory-oriented “proof” reports and reduced costs. Discover compliance exceptions, bad trends, and if you’ll pass a regulatory or investor due diligence exam.

Schwab Designated Brokerage Services, a segment of Charles Schwab & Co., Inc. (Member SIPC), the registered broker-dealer, is committed to meeting the high standards that corporate compliance departments expect. With more than 15 years of experience and a roster of over 400 corporate clients, we are a market leader in providing employee trade surveillance technology to financial firms. We offer comprehensive, cost-saving solutions that can reduce the manual processes and mitigate the risk associated with companies monitoring employee securities trading. Our trade surveillance technology solutions include Trade Rules, a ground-breaking web-based application that can proactively block restricted trades that are not compliant with your firm’s employee trade monitoring policy.  Plus, with Schwab, your employees have access to a full suite of investment products and services to help them achieve their financial goals.

To learn more, call 1-877-589-4276 or visit designatedbrokerage.schwab.com today.

Fidessa LatentZero provides solutions to the global asset management industry. Over 200 buy-side firms, including nine of the ten largest global asset managers, as well as smaller investment managers and hedge funds, rely on Fidessa LatentZero's software and services in their front offices.

Sentinel provides comprehensive pre-, intra- and post-trade investment compliance functionality, and is the pioneer in pre-trade restriction technology. Sentinel has the fastest restriction checking speed in the marketplace, covers a wide range of global regulatory rule libraries and mandates, and enables non technical users to quickly and easily create their own rules.

FORESIDE COMPLIANCE SERVICES, LLC
Foreside offers cost-effective, tailored solutions that allow our clients to focus on asset management without sacrificing compliance best practices.  Our services for start-up, small and larger established traditional and alternative investment firms include providing a named fund CCO, supporting an advisor CCO, SEC registration assistance, compliance program design, implementation and testing, vendor selection and oversight.  For more information, contact Susan Mosher at (207) 553-1953 or at smosher@foreside.com.

Founded in 2001, HedgeOp Compliance, LLC focuses exclusively on helping hedge fund and fund of hedge fund managers meet their compliance and operational challenges. HedgeOp has developed a successful business based on its proactive approach to servicing clients and proven reputation. Our clients range from start-up hedge funds to large firms with well-established track records.

Lawrence, Kamin, Saunders & Uhlenhop, L.L.C
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.

Levenfeld Pearlstein has over 70 attorneys based in Chicago and represents sophisticated entrepreneurs and institutions in corporate securities, real estate, and litigation matters.

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

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 tbougere@cambridgealliance.com or tel. 800-691-1515.

Michaels, Ward & Rabinovitz, LLP represents financial services clients nationwide in a full range of legal and compliance matters including employment disputes, regulatory investigations, internal investigations, and securities litigation and arbitration. For your convenience, we have offices located in Massachusetts, Florida, New York, and Colorado. For more information on our firm, and our client-centered and cost-effective approach to case management, please visit us on the web at www.michaelsward.com. 

The National Association of Independent Broker/Dealers (NAIBD) is a trade organization representing the small, regional and independent firm community, providing them an advocate's voice regarding proposed rule changes, industry representation on SRO boards and committees, and relevant trends. NAIBD is dedicated to provide member benefits to strengthen participation in the association.

National Compliance Consultants, Inc.
NCCI is a leading compliance and registration resource for Broker-Dealers, Investment Advisors, and their counsel. The firm has been providing superior consulting services since 1987.

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 chad@ncsonline.com.

National Regulatory Services, since 1983, has been providing compliance and registration services for Investment Advisors and Broker/Dealers. NRS conducts risk reviews for regulatory red flags and provides firms with NRS ComplianceEssentials™, the all-in-one compliance tool; and established the Center for Compliance Professionals offering the first Investment Advisor compliance certification program.

NOVON delivers results and we back it up with our Service Guarantee. Visit us at www.novon.net to learn more.

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.

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

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