Enterprise Compliance

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




Advanced Regulatory Compliance Inc.
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.


Cipperman Compliance Services

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. CCS has grown to be one of the leading organizations of compliance professionals serving the investment industry. Our staff includes lawyers and experienced compliance and operations professionals, many with more than 15 years of regulatory compliance experience.



CS2 Compliance

CS2 provides regulatory compliance, operations, and business consulting and services to Registered Investment Adviser (RIA), Broker-Dealer, and other financial services industry firms. We specialize in turn-key start-up registration packages for new firms as well as providing ongoing services and support for existing firms. Our clients include investment adviser firms of all sizes, hybrid RIA / broker dealer firms, community banks and credit unions, commodity trading advisers, futures dealers, municipal advisers, fund managers, securities attorneys, continuing education providers, and industry technology companies.



Erado

Erado provides unified archiving, supervision, security, and messaging solutions to regulated industries across the globe:  Social media archiving; Instant messaging arhiving; Website and blog archiving; Mail security platform; Email archiving; Mobile archiving; Audio and video archiving; Integrated messaging platform.



Grendel

Grendel is a sophisticated online solution designed specifically for financial advisors. It integrates all the tools a practice needs to stay ahead of the curve in one easy to use package. With Grendel, advisors have access to unlimited account aggregation, an advanced CRM, a compliant paperless office solution, client portal, and practice management tools. Control your monsters with Grendel and increase compliance, reduce costs, and generate more revenue! Grendel also has a supervisory module available for broker/dealers. This allows the b/d to remotely audit their advisors, unify compliance management, manage retention policies, maintain comprehensive records, access all advisor files instantly, and more. Grendel even automates many of these functions and proactively notifies the supervisor of potential issues.



Investment Care

InvestmentCare Consulting Group is dedicated to providing efficient means to accessing accurate information in the areas of securities compliance, regulatory guidelines, solicitation and disclosure requirements, investor education and protection. More specifically, we offer broker/dealer services which focus on securities consulting and compliance research to include NASD/SEC/MSRB/PCX/ AMEX/PHX/CBOE/NYSE rule citations, Supervisory Procedures and audit reviews. We also offer individual investor services which focus on investor education and awareness of investment guidelines and broker/dealer requirements for a better understanding of the regulatory process.



Market Counsel

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.



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.



National Regulatory Services
 (NRS)

For over 30 years as the nation’s leader in compliance and registration products and services for financial services firms, NRS can help guide your compliance strategy, minimize risk and lower costs. We utilize three synergistic product lines, Technology, Education and Consulting to create customized compliance solutions for our clients. Owned by the Reed Elsevier, National Regulatory Services (NRS) is part of Accuity, the global standard for payment efficiency and compliance solutions.



OneSecure Technology

OneSecure Technology offers a full range of high performance solutions to assist businesses in optimizing their information technology resources. Our solutions ensure the security, integrity and reliability of your network systems and data. We work with our clients from square one to plan, develop and integrate any of the following solutions into their existing network infrastructure. Services provided: Email Archiving; Social Media Archiving; Data Backup & Protection; Virtual and Dedicated Servers in the Cloud; Network Security; Email Hosting; Web Security; Unified Messaging Solutions; Data Security; Web Design & Branding.



RIA Compliance Consultants

RIA Compliance Consultants, Inc. is a full-service consulting firm providing registration and compliance services for registered investment advisors. We provide 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.



SEC3

SEC3 is a recognized industry leader providing independent regulatory and compliance services. We offer a full suite of compliance and regulatory services to hedge fund, private equity and real estate managers and other advisers as well as investment companies and broker-dealers. CCO3 is a leading provider of Mutual Fund Chief Compliance Officer outsourcing. Our outsourced Mutual Fund CCO solution provides a highly qualified named CCO supported by a team of experienced professionals. The result? Company directors and trustees feel confident that regulatory liability is expertly managed and under control.



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.



ZL Tech

ZL was originally founded in San Jose as “ZipLip,” a secure email provider for large global corporations offering end-to-end message tracking capabilities and outstanding scalability. Over the years ZL moved away from secure email, and instead used its foundation in email management and industry-leading scalability to focus on information governance. With its growing expertise, ZL helped companies leverage their digital information to perform tasks like eDiscovery, compliance, records management, and analytics. ZL has proven itself as the specialized provider of electronic content archiving software for the most demanding large enterprise environments. Built upon the industry’s most scalable platform, ZL offers today’s leading organizations the ability to comprehensively manage the entirety of their digital assets. Today, the award-winning ZL Unified Archive® addresses analytics, eDiscovery, compliance, records management, file analysis and storage optimization, continuously providing next-step big data governance solutions to all its customers.