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.

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.

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.

Founded in 1993, Chicago Clearing Corporation (CCC), an Advent Alliance Partner, is the class action securities claim filing expert.  CCC has over 500 clients that represent 250,000 individual investors.  CCC’s advisory, hedge fund and bank trust clients alone represent over $100 billion AUM.  CCC has filed claims valued over $1.5 billion in recognized loss. 

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.

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.

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.

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, financial planning and venture capital firms as well as 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 Mosher at (207) 553-1953 or at smosher@foreside.com or Susan Chamberlain at (866) 251-6920 x21960 or at schamberlain@foreside.com.

Global Relay provides Compliance Archiving and eDiscovery of Email, Instant Messaging, Bloomberg, Reuters, BlackBerry, OCS and Social Networks for FINRA, SEC and Privacy compliance. Mobile Access, Outlook Integration, AlwaysOn Continuity and Personal Archiving, provide valuable tools for employees. Global Relay's 14,000 customers include small to large Broker-Dealers, and 22 of 25 top global Banks.

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.

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.

IA Compliance & Consulting

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

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. 

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.

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.

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.

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

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.

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.

Quadron Data Solutions, a Fetter Logic Company, combines business processing with supervision and surveillance into a unified experience for Advisors and advisory personnel. From account onboarding to books-and-records maintenance and rule-based testing, our integrated solutions infuse control and oversight into business processing and product-rich surveillance reporting all sourced by our fully aggregated data warehouse.

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.

Securities Compliance Index (SCI) is the only topical guide to securities regulation designed specifically for Compliance, Legal, Regulatory, Risk and Audit Professionals. SCI covers more than 2,500 key regulatory topics, and contains over 10,000 essential citations to regulation, guidance, law firm memorandums, etc. For a free trial, go to http://securitiescomplianceindex.com/

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

Summit Compliance Services provides consulting and outsourcing services to broker-dealers, investment advisers and hedge funds. We assist our clients by implementing practical and efficient solutions to their regulatory and risk management needs. For more information, call 888-245-5499 or visit www.summitcompliance.com

TD AMERITRADE provides online self-directed brokerage account services (SDBA) to 401(k) plan providers and corporate employers. Through specially designed programs, firms can offer their employees TD AMERITRADE online brokerage services with customized benefits designed to fit the needs of the firm and their organization.

TD AMERITRADE, Division of TD AMERITRADE, Inc., member NASD/SIPC. TD AMERITRADE is a registered trademark of TD AMERITRADE IP Company, Inc. © 2007 TD AMERITRADE IP Company, Inc. All rights reserved. Used with permission.

Thomson Reuters Accelus Solutions provide powerful tools and information that enable actionable insight, dynamic connections,and informed choices to drive business performance. thomson Reuter 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.

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.

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.