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Advanced Regulatory Compliance, Inc. 415 N. Camden Drive, Ste. 121 Beverly Hills, CA 90210 Phone: (310) 275-7300 Email: pburns@advreg.com Website: www.advreg.com Advanced Regulatory Compliance, Inc. is a dynamic new organization formed to help investment advisory firms, broker-dealers and their representatives meet ever-changing compliance and regulatory obligations. Our practice is national in scope and able to meet the compliance and regulatory needs of clients nationwide. We offer personalized and tailored compliance/ regulatory advice to address each firms or representative's unique way of doing business. Our consultants have years of experience working with independently registered investment advisers, independent broker-dealers and their representatives. Top BackOffice Alliance LLC 227 Deerwood Bend Charlottesville, VA 22911 Phone: (877) 306-9262 Email: sales@backofficealliance.com Website: www.backofficealliance.com Contact: Susan L. Silva, Managing Director and Business Development BackOffice Alliance LLC is an innovative regulatory consulting firm specializing in SEC and FINRA compliance requirements for investment advisers, broker-dealers, investment companies, and hedge funds. We provide a cost effective “needs-based” compliance and operations solution through our unique automated process to enable you to utilize your capital and resources where it is needed – “growing your business”. Whether you are a start-up or a seasoned veteran who understands that compliance risks can jeopardize your entire firm, our experienced compliance staff is able and ready to protect you. Collectively we represent over 100 years of regulatory, operational and technical experience. t over 100 years of regulatory, operational and technical experience. Top CCH Compliance Tools Inc. 14 Wall Street, 26 Floor New York, NY 10005 Phone: (212) 619-4000 Email: CTISupport@cch.com Website: www.compliancetools.com CCH Compliance Tools division is the leading provider of state of the art technology to organizations who need to manage their compliance exposure. We have years of experience building and integrating compliance technology. Our product designs and architectural schema have influenced the most widely installed compliance systems on the Street, adding significant value at leading client firms. Top Cipperman Compliance Services Cipperman Compliance Services provides outsourced Chief Compliance Officer services to registered investment managers and registered funds. We can either fully outsource your compliance function by designating one of our professionals as your CCO, or we can provide supplemental resources to your in-house CCO. Our team has significant experience and expertise in creating, implementing and maintaining rigorous compliance programs. Our clients range from emerging managers to well established investment firms, and are geographically dispersed across the US. We are not merely compliance consultants. Rather, we create a customized program for every client and do the heavy lifting to manage your compliance program, so you can focus on portfolio management, client service and prospecting for new business. Please contact us to find out how we can help you manage your compliance program. Top Comprehensive Securities Compliance Solutions, Inc. (CS2) 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. Top Erado Message Control Solutions 321 Burnett Ave.S. Suite 100 Renton, WA. 98057 Phone: (866) 673-7236 Email: sales@erado.com Website: www.erado.com Erado is a leading provider of secure, hosted email archiving, message security, disaster recovery, encryption, and compliance solutions. Founded in 1994, the companies solutions are trusted by banks, broker/dealers, financial advisors, utilities, healthcare, and manufacturing firms worldwide Since its inception Erado has had a perfect regulatory audit track record. Erado’s email archiving services are used by non-regulated companies as a proactive solution for e-discovery. Erado’s SecureMail hosted email encryption services provide a software and hardware free solution to complying with state and federal email privacy laws. Erado’s email campaign management service provides an easy to use, web enabled, feature rich email marketing application that works with any email provider, archiving, and compliance solution on the market today. Erado’s email campaign manger allows you to create and manage newsletters, press releases, recommendations, and more.Building and managing one list or multiple lists is quick and easy. Customized newsletters can be created with your software or with our easy to use online html editor. Top Financial Registrations, Inc. 25602 Alicia Parkway #107 Laguna Hills, CA 92653 Phone: (800) 641-1818 Email: bmiller@financialregistrationsl.com Website: www.financialregistrations.com Financial Registrations, Inc. provides securities registration and compliance regulation consulting services to broker/dealers and investment advisers. Top Grendel Big Brain Works, LLC. 140 West Gay St, Suite 300 West Chester, PA 19380 Phone: 888-824-4477 Email: info@grendelonline.com Website: www.grendelonline.com 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 you 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. Top iBalanceTM softTarget Inc. 139, Dresden Avenue Montreal, Quebec H3P 3K1 Phone: (514) 340-1414 Email: info@softTarget.com Website: www.softTarget.com softTarget’s iBalanceTM Wealth Management platform integrates compliance management, portfolio modeling, strategic portfolio rebalancing, workflow automation and reporting. It drastically improves efficiency and control while helping reducing costs. It provides the ability to react quickly, precisely and consistently while delivering personalized and increasingly complex portfolio management services. You can achieve pre-trade / just-in-time compliance, family portfolio management, active tax management, etc. It can integrate with an existing back office system and feed the trading system of your choice, preserving your technology investments. Top Investment Care Consulting Group 16400 Ventura Blvd., Suite #308 Encino, CA 91436 Phone: (818) 386-6900 Email: info@investmentcare.com Website: www.investmentcare.com 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. Top LiveOffice Advisor Mail LiveOffice LLC 2780 Skypark Drive, Suite 300 Torrance, CA 90505 Phone: (800) 251-3863 Email: liveofficesales@liveoffice.com Website: www.liveoffice.com/archiving/advisormail.asp LiveOffice AdvisorMail is the leading email archiving, compliance and discovery solution for financial services firms of all sizes. With more than 10 years of experience and billions of messages archived, AdvisorMail is the most trusted email compliance system in the industry today. Top MarketCounsel 61 West Palisade Avenue Englewood, NJ 07631 Phone: (201) 705-1200 Email: pnc@marketcounsel.com Website: www.marketcounsel.com Contact: Kari Hamburger, MSW, Director of Business Development MarketCounsel is a business, regulatory and compliance consulting firm dedicated to the success of entrepreneurial investment advisory firms nationwide. Their comprehensive service offering revolves around sound yet business-savvy regulatory compliance solutions for a focused niche of clientele. Best-of-class compliance professionals are paired with state-of-the-art technology to deliver such solutions to meet clients' needs. Not to be confused with an ordinary reactive services traditionally offered by law firms and consulting firms, MarketCounsel's unique program allows registered investment advisers to budget their compliance expenditures and confidently focus on business operations while availing themselves to MarketCounsel's proactive and business-savvy solutions to the regulatory challenges that face today's investment adviser. MarketCounsel achieves this unique result by deploying state-of-the-art technologies customized to complement its focused, energetic, and dedicated team of highly-skilled securities attorneys, compliance professionals and administrators. Top metaLogic 5025 Orbitor Drive Building 3, Suite 300 Mississauga, Ontario L4W 4Y5 Phone: (905) 629-7775 Email: sales@metalogic-inc.com Website: www.metalogic-inc.com metaLogic, established in 1997, is focused on collaboration, content management, and compliance solutions that leverage IBM middleware and open source products. Our email management and compliance products extend Lotus Notes to provide end-user archiving, compliance archiving, real-time email policy enforcement, discovery, and email content rationalization. Enforcer, our flagship archiving solution, is built for Lotus Notes but integrates open source components (Postgres, Jetty, Lucene, and SOLR). We also have a java-based forms integration product (Formlet Factory) that makes it easy to connect electronic forms to existing back-end databases. Our professional services team has expertise with the Lotus Notes Domino family of products, Lotus Forms, Websphere Portal, Liferay Portal, Tomcat, Jetty, Postgres, MySQL, Lucene, and many open source solutions. The team has extensive experience managing and delivering large-scale, complex development and migration projects. In 2001, metaLogic was named a Mississauga Business of the Year. Mississauga, the sixth largest city in Canada, is located just outside Toronto. Top National Compliance Services 355 NE 5th Avenue, Suite 4 Delray Beach, FL 33483 Phone: (800) 800-3204 Email: info@ncsonline.com Website: www.ncsonline.com We are industry leaders in investment adviser registration, broker dealer registration, IARD filing services and compliance services. NCS offers full service registration and continuing compliance services for NASD, SEC, State, and Agent registrations. NCS is well prepared to assist both State and SEC Registered Investment Advisers and Broker Dealers with their compliance needs. We have been working with advisers and broker dealers since 1995 and currently service over 5,000 clients. We have compliance specialists and attorneys on staff to assist firms and individuals with their compliance needs. Top National Regulatory Services 323-A Main Street P.O. Box 71 Lakeville, CT 06039 Phone: (860) 435-0200 Email: info@nrs-inc.com Website: www.nrs-inc.com As the nation's leading registration and compliance consulting firm, National Regulatory Services provides products and services to over 6,000 clients in 6 countries, including such companies as Fidelity Investments, American Express Financial, Salomon Smith Barney, John Hancock, and Fleet Bank . NRS is best known for its outstanding compliance experience and its working relationship with regulators. NRS employs over 50 compliance experts, with a branch office in the Boston area. The firm's four divisions: Investment Adviser, Broker/Dealer, Investment Company, and Insurance, offer assistance to those just entering the market as well as ongoing services for those companies with established track records. Top NewRiver, Inc. 200 Brickstone Square, 5th Floor Andover, MA 01810 Phone: (800) 481-2331 Email: information@newriver.com Website: www.newriver.com NewRiver, Inc. enables financial services institutions to deliver regulatory compliant communications to their investors electronically, or through print on demand, at each stage of an investment relationship. Our products enable financial services institutions to comply with regulatory requirements to deliver current prospectuses, reports, supplements and other communications to investors. We use our proprietary technology to capture, organize, maintain and deliver all filings made electronically with the U.S. Securities and Exchange Commission through the Electronic Data Gathering, Analysis and Retrieval System, or EDGAR. Top RIA Compliance Consultants 1905 Harney St., Ste. 530 Omaha, NE 68102 Phone: (877) 345-4034 Email: bhill@ria-compliance-consultants.com Website: www.ria-compliance-consultants.com 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. Top SEC Compliance Consultants Inc. Phone: (215) 925-2284 Email: info@seccc.com Website: www.seccc.com SECCC provides compliance consulting services to a wide range of financial institutions nationwide, including state and federally registered investment advisers, broker-dealers, investment companies, transfer agents, and banks. Top Singlecast 535 West 34th Street New York, NY 10001 Phone: (646) 792-2626 Email: sales@singlecast.com Website: www.singlecast.com Singlecast provides critical solutions that enable corporate oversight and control over enterprise communications including email, instant messages and the Web. Singlecast's flagship product, Singlecast Compliance Manager, is the only centrally managed platform to deliver supervision and monitoring, proactive policy enforcement, and information discovery capabilities via a collaborative and secure web-based interface. Top Smarsh, Inc. 921 SW Washington Street. Suite 540 Portland, OR 97205 Phone: (866) 762-7741 Email: info@smarsh.com Website: www.smarsh.com 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. Smarsh offers a full-service suite of products and services. The proprietary automated email review agent, the Virtual Compliance Officer®, sets the standard for efficiency in email supervision. The VCO features a data leak prevention module that integrates with the email archive and prevents important corporate knowledge and communication from leaving (or entering) the organization. Top Spam Soap, Inc. 3193 Redhill Ave Costa Mesa, CA 92626 Phone: (866) 772-6688 Email: info@spamsoap.com Website: www.spamsoap.com With no hardware or software to install, Spam Soap Message Archiving provides an on-demand email archiving and surveillance solution for SEC and FINRA compliance. Minimize costs and risks, simplify archiving and surveillance, enforce corporate email policies, increase employee productivity and safeguard business integrity. Prevent non-compliant emails from being sent with outbound message interception. Earn recurring revenue as a Partner. Top Windham Compliance Consulting 15760 SW Windham Terrace Tigard, OR 97224 Phone: (503) 867-9369 Email: dgrouell@windhamcompliance.com Website: www.windhamcompliance.com Windham Compliance Consulting provides compliance consulting services to investment advisers, broker-dealers and reps, mutual funds and hedge funds. We are able to deliver our expertise via a variety of scalable service offerings; from complete compliance management to simple projects.Windham Compliance Consulting understands exactly what you need. You need pragmatic solutions that meet both regulatory requirements and budgetary realities. Windham advice is always practical and tailored to your business…no “perfect world” scenarios or expectations. Finished documents are delivered via a secure, third-party portal. Contact us for an initial consultation. Top ZANTAZ, Inc. 5671 Gibraltar Drive Pleasanton, CA 94588 Phone: (800) 636-0095 Email: info@zantaz.com Website: www.zantaz.com ZANTAZ® is a leading provider of Compliance Technology Solutions™ that enable clients to comply with industry regulations, respond to urgent litigation and regulatory audits, and mitigate the risks associated with today’s complex legal and regulatory environment. ZANTAZ offers a full suite of compliance technology and electronic discovery solutions and services. Through extensive technology and records management expertise, proven digital archiving and content management services, and highly scalable technology, ZANTAZ delivers customer-driven solutions with a high level of security and confidentiality. These solutions enable clients to decrease liabilities, reduce costs and ensure regulatory compliance, corporate integrity and responsibility. Top ZipLip Unified Email Archival Suite 2127 Zanker Road, San Jose, CA 95131 Phone: (408) 200-8989 Email: sales@ziplip.com Website: www.ziplip.com The ZipLip Unified Email Archival Suite provides complete email archiving and management for companies using Notes/Domino, Exchange, Groupwise, Bloomberg, etc. It provides scalable storage of email data, content management, regulatory compliance, lifecycle management, performance enhancement, hierarchical search and discovery, email continuity and disaster response. It enables: • Compliance with regulations - complete email capture and archiving, pre and post-review capabilities • Storage and retention management • Enhanced search and Legal Discovery • Improved server performance. |
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