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Compliance

Search the network of Compliance Solution providers for the financial services industry. 



ACA Compliance Group

ACA Compliance Group (“ACA”) is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, ACA clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers.


 

Advanced Regulatory Compliance, Inc. (ARC) is a national full-service investment advisory compliance consulting firm backed by its association with The Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm. The explosive growth of the investment advisory business over the past few years created a need for a firm such as ARC to help investment advisers deal with their ever increasing compliance obligations in a challenging regulatory environment. ARC provides practical solutions to complex compliance issues. Our key services include investment adviser registrations, mock audits, annual reviews, due diligence/verifications, compliance technology solutions, and compliance support and consultations. ARC’s highly skilled professionals provide compliance support to a variety of firms, from start up investment advisers to multi-billion dollar practices.



AdvisorVault

AdvisorVault is the only remote backup provider specifically designed to help small broker-dealer firms achieve today’s stringent data compliance requirements. With our designated third party status (D3P) we help small broker-dealer firms achieve all the required data compliance rules defined in 17a-3, 17a-4, 3510 and 3010. Our fully managed solution includes all the hardware and software and instantly plugs into the office network to remotely protect emails and all documents relating to Books and Records. Remote, home and travelling employees are instantly added to the solution at no addition cost.

The turn-key product is priced to fit the budget of small firms and provides remote backup, long-term archiving and disaster recovery in accordance with all current SEC and FINRA rules. Experience total data compliance – Out of the Box with AdvisorVault.



Cipperman Compliance Services

Cipperman Compliance Services (CCS) is an independent firm 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, and has been providing compliance services since 2004. CCS is the industry leader of compliance outsourcing for registered advisers, funds, alternative investments (hedge and private equity), and broker-dealers. With 80-plus domestic and international relationships, our services range from acting as a client’s Chief Compliance Officer (CCO) to providing a team of resources for delivery of regulatory compliance support.


 

Core Compliance & Legal Services

Core Compliance & Legal Services, Inc. (CCLS) specializes in compliance and risk management for the financial industry. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. CCLS understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of your firm.

The primary goal of CCLS is to offer customized regulatory compliance solutions that help empower our clients to achieve success. We help financial institutions and professionals with customized compliance support – from the formation stage, to ongoing testing and internal control development, and then maintenance and evolution of their compliance programs in response to changes in regulations, products and additional service offerings.



CS2 Compliance

CS2 supports enterprises of all scale engaged in investment advisory, FINRA/NFA broker-dealer, hedge fund and other alternative assets, family wealth office, and insurance activities. Our firm is comprised of a seasoned team of former in-house professionals that have actual experience serving on registered investment advisers and broker/dealers staffs in roles that include chief compliance officer, AML officer, and regional and OSJ compliance principals. Our backgrounds also include operations management, FinOp support, due diligence, legislative and regulatory affairs, licensing and registration support.

CS2 provides compliance expertise without the associated costs of employing full-time staff. From start-up to continuous support, our clients are located throughout the US where we provide them support on site or remotely via secure technology — at a reasonable cost due to our low overhead. Guidance and support to your firm drawn from the practical, day-to-day knowledge and experience of ours.


 

Cyfeon

Built by financial service and compliance software experts, Cyfeon’s suite of compliance products allow clients to automate, access and report end-to-end compliance activities across their entire organization.

  • Harness sensitive data in a clearer, useful way.
  • Centralize the multitude of files, data sources and operational processes required for supervisory oversight.
  • Create automated rules that enable compliance analysts to more efficiently manage regulatory risk.
  • Better manage the vast amounts of complex structured and unstructured data generated by day-to-day operations.
  • Automate actionable intelligence and workflows so business owners can make more informed strategic decisions.
  • Regulatory pressures continue to mount yet there is still a significant amount of manual processes being performed using archaic products such as spreadsheets, Access databases, etc.


Erado

Erado’s Unified Archive is a world-class archiving, supervision, and retrieval platform for all types of electronic communications.  Our enterprise-class tools are designed for the rigorous demands of regulatory compliance, audits, and e-Discovery.  Erado’s Unified Archive platform alleviates the burdens of data management, storage, security, and business continuity.  Erado archives more than 50 content channels that include all major email and instant messaging platforms, to an ever growing list of public and private social media communications to keep your organization compliant.

Erado’s SecureMail is built around compliance and supervision.  Regulations require the protection and security of sensitive client data.  The cost of non-compliance is higher than ever.  SecureMail is easy to use for both the message sender and receiver and is fully integrated with Erado’s world-class archiving, supervision, and retrieval platform.  Erado’s platform provides the tools necessary to implement and deploy secure email communications while adhering to archiving and supervision requirements.



FA Risk

FA RISK is in the business of empowering our members, with risk mitigation strategies,  to their greatest potential and managing the risk to their lifestyle. Our members enjoy and experience peace of mind derived from the knowledge that if a claim from their client is made against them, the risk mitigation strategies learned from the education they got from FA Risk Management will support them. We stand with our members during their darkest hour. When that claim is made (and it will be someday) FA RISK will be there with risk mitigation strategies, expert consultation, access to superior legal services, and money.



FrontLine Compliance

FrontLine Compliance provides customized compliance services to the investment industry. We specialize in regulatory compliance consulting for investment advisers, broker-dealers, hedge funds, private equity firms, investment companies and insurance company affiliates. Our services are primarily offered to middle market institutional buy-side and sell-side firms in equities, fixed-income and alternatives. We partner with our clients to create value-added services and provide solutions designed to fit your business needs.



IPS AdvisorPro

Founded by financial advisors for financial advisors, IPS AdvisorPro® offers a flexible solution to creating, managing, and updating, fully-customized Investment Policy Statements (IPS) through an encrypted, secure web-based environment, quickly and easily. This award-winning system is designed to work with all types of wealth management professionals and their practices.



Kronos Finance

Kronos Finance is a client management Web application designed and developed specifically for financial and insurance professionals. It is a centralized database, which you own, that contains your clients’ complete insurance and investment information.


 

M2Advisor

m2Advisor is a high function desktop application for Financial Advisors to manage the relationship with investor clients in a collaborative manner, handle more clients professionally with less effort through direct access to all portfolio info and history, provide full Portfolio Management facilities including corporate actions and income tracking, produce advanced reporting, generate sophisticated Return Performance measurement, facilitate regulatory compliance, and extensive CRM features.


 

MarketCounsel

MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors. We deliver comprehensive and sound, yet business-savvy, regulatory compliance solutions.  At MarketCounsel, you will discover an impressive roster of seasoned compliance professionals paired with state-of-the-art technology to meet, anticipate, and exceed the exacting needs of our clients.  From the startup of an investment advisor through our time-tested RIA Incubator program, to the outsourced compliance department capabilities of our RIA Institute, MarketCounsel’s service platform consistently delivers on the promise of trusted counsel within the wrapper of extraordinary service.



Mezzo Compliance

We offer services to investment advisers, broker-dealers, mutual funds, and hedge funds. Every engagement is tailored to meet the needs of the client (and regulator). Services include:

  • Audits and supervisory visits
  • Document draft or revision
  • Manual draft or revision
  • Regulatory filings and renewals
  • Registration with federal or state regulators
  • Training and education
  • General compliance consulting

Let us know your needs and budget, and we’ll custom design a program just for you. We offer services on a monthly retainer-, flat-, or hourly-fee basis. Fees may be paid by check or credit card.



National Compliance Services

NCS Regulatory Compliance is the nation’s premier regulatory compliance consulting firm and offers the deep investment adviser and broker-dealer expertise and proven compliance knowledge that makes the critical difference to our clients. Our expert services combine with decades of industry experience and best-in-class technology solutions to provide you with the registration and ongoing consulting services that have set us apart as the leader in proactive compliance consulting. Our knowledgeable consultants work closely with you with dedicated support to assess your compliance needs and develop a strategy that is effective and easy to implement, while anticipating and planning for regulatory changes. As a client and partner of NCS Regulatory Compliance, you’ll have access to our comprehensive suite of registration, compliance, and regulatory accounting services, as well as the thought leadership and expertise of some of the most notable professionals in the industry. Together, as your trusted partner, NCS Regulatory Compliance will help ensure that you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies, while we focus on ours.


 

PageFreezer

PageFreezer is a leading technology provider of website and social media archiving solutions to financial services firms who need to comply with FINRA, SEC and other banking regulations. Our cloud-based software ensures that your web contents are stored safely and accurately in compliance with industry regulations. Our evidentiary quality archives also serve as protection in the event of litigation by providing irrefutable proof of what your company had on its websites, blogs and social media channels.



RIA Compliance Consultants

RIA Compliance Consultants provides registration and renewal services, mock exams, document reviews, compliance program assessments, and more. RCC collaborates with investment advisors to identify regulatory and risk management challenges. We then work with them to build and implement practical solutions that protect their clients while meeting their regulatory responsibilities.



RIA in a Box

RIA in a Box is a leading compliance consulting firm offering registration and ongoing compliance services to registered investment advisory firms (RIAs) throughout the United States. Our mission is to enable fellow entrepreneurs to establish their own firms and remain in compliance with regulatory guidelines. Our on-going monthly compliance services packages are designed to fit every investment adviser’s budget and range from $99 to $1,845 per month. We are staffed by ex-state regulators and believe we offer incredible value that can’t be matched.



RIA Registrar

RIA Registrar, LLC provides a turn-key, customized solution for state and SEC registration for Registered Investment Advisors.  We also provide services for renewals, mock audits, document review and advertising review.  We use a team approach to provide extensive experience and expertise as your comprehensive advisory firm back office.

RIA Registrar, LLC offers ongoing compliance for fiduciary training, monthly compliance calendars, monthly webinar training,  QuickBooks training, advertising review, record keeping requirements and state/SEC statutes and regulations.  We create strategic partnerships with advisors to provide compliance and administration solutions.



Safety Net for Advisors

Safety Net for Advisors™ is a technology solution which addresses compliant data backup, storage, and rapid data recovery. The system is meant to aid data compliance efforts and includes encrypted data storage both in-office and offsite, complete E-mail retention and search capabilities, as well as an invaluable disaster recovery solution. SafetyNet for Advisors™ promises these benefits for Registered Investment Advisors (RIAs):

  • Save money and streamline technology by letting us cover your data & email compliance requirements, as well as disaster recovery planning in the same service
  • We make sure all your firm’s data is backed up, protected, and follows proper SEC compliance, so you don’t have to
  • Data & core technology is protected from disasters big and small, 24/7


Smarsh

Smarsh is a leading managed service provider of innovative, secure, and reliable email-archiving solutions for message compliance and records retention, proactive 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. Smarsh’s email archiving software-as-a-service (SaaS) is also implemented as a proactive complement to e-discovery, offering an efficient and cost-effective alternative to the traditional reactive process, and as a robust email management tool.



Smart RIA

Smart RIA software with our proprietary Advisor Alert technology combines back office efficiencies with Federal and State compliance to offer an all-in-one RIA management platform that helps you to remain audit ready and manage your business while saving time and money.



Sound Compliance Services

Sound Compliance Services provides, primarily, an Independent Chief Compliance Officer Service, lead by our founder, Peter Mafteiu. With over 25+ years of experience as a Senior Regulatory Consultant, Special Review Person under SEC Orders, a Chief Compliance and Chief Operations Officer at a $1.4 billion money manager and a Chief Compliance Officer for a global team (5 countries) for Russell Investments, Peter has extensive and practical experience for money managers, broker dealers, hedge funds and mutual funds.

The Independent CCO service provides your firm with two options or solutions: A dedicated Chief Compliance Officer for a firm in transition, when you loose your current CCO; A back up (coach, mentor and independent evaluator) for your current compliance program – to help you and your team evaluate (independently) the adequacy of your compliance program. When Compliance Leadership matters, Sound Compliance Services provides you with in depth resources that provide Sound Advice – Sound Recommendations – Sound Solutions! Sound Compliance Services’ inventory includes: Registration; Documentations / Filings; Examinations; Compliance Programs; Polices, Procedures, Controls; Evaluation & Assessment; Operations Consulting; Problem Solving and Innovation; Customized Solutions.