ACA Compliance Group (ACA) is a leading global provider of governance, risk, and compliance advisory services and technology solutions. We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions.
Advisor Armor delivers comprehensive interpretative guidance, software, and services that meet information/cybersecurity requirements. Compliance standards met include, but are not limited to NIST, SEC, FINRA, NASAA, along with state privacy and safe-harbor laws.
Compliance.ai’s mission is to transform the way highly regulated organizations address compliance risk, and to modernize compliance processes for both the regulators and the regulated entities. Its RegTech platform automates and streamlines complex compliance activities & workflows to foster collaboration, transparency, and trust across all stakeholders. Compliance.ai empowers financial compliance teams to proactively manage the growing volume & velocity of regulatory changes, as they occur, and make it simple to implement the appropriate steps to remain in compliance. Compliance.ai provides a cost-effective way to monitor & predict regulatory trends that impact businesses, and allocate resources accordingly.
Cucharale Consulting Group, LLC (CCG) provides comprehensive solutions for a diverse range of financial firms and businesses. CCG focuses on the challenges that companies face regarding regulatory compliance, business development and organizational management
Duff & Phelps is now Kroll. We are an award-winning provider of compliance and regulatory consulting services. Our global team of professionals operate to build, manage and protect our clients’ businesses by providing exceptional advice and integrated expertise.
Elteni provides high-touch and high-quality cybersecurity services to the financial services industry. Our unique approach to engaging with clients provide the flexibility they need with a true partner.
Eventus Systems is a leading global provider of multi-asset class trade surveillance and market risk solutions. Its powerful, award-winning Validus platform is easy to deploy, customize and operate across equities, options, futures, foreign exchange (FX), fixed income and digital asset markets. Validus is proven in the most complex, high-volume and real-time environments of tier-1 banks, broker-dealers, futures commission merchants (FCMs), proprietary trading groups, market centers, buy-side institutions, energy and commodity trading firms, and regulators. The company’s rapidly growing client base relies on Validus and Eventus’ responsive support and product development teams to overcome its most pressing regulatory challenges.
Ethics training for financial and legal professionals, using an evidence-based holistic approach to mitigate risks and elevate well-being.
Membership in IBDC-RIAC connects broker-dealers and RIAs to the most powerful resources, tools, contacts, and information to effectively navigate an ever-changing regulatory landscape. Complimentary legal, compliance, cybersecurity, and insurance hotline services are but one of the many benefits of membership.
illumis’s data access solutions aggregate public records data from thousands of sources – providing the information you need to know, when you need to know it. Our Compliance solutions help teams in financial services monitor for potential risks like employee’s undisclosed political contributions and outside business activities. Compliance teams ranging from small investment firms to large global banks use illumis to save significant time and resources in accessing and making sense of the critical information they need to avoid risk and ensure policy adherence.
InvestorCOM is a leading provider of regulatory compliance software and communications solutions for banks, asset managers, insurance companies and investment dealers in the financial services industry.
For more than 20 years, InvestorCOM has been providing regulatory compliance pain relief for global wealth managers.
We recently launched a compliance platform for Reg BI. This intuitive platform is well suited to satisfying the principles set out by US regulators and supports the key categories of disclosure and record-keeping, adviser and process oversight, and investment product selection and monitoring.
La Meer Inc. offers the GRACE suite of cloud – web,tablet mobile modular solutions for Compliance Management, Client Management for Reg BI, Trade Monitoring, Automated AML monitoring, Branch and Rep Monitoring, IT and Vendor Risk
Oyster Consulting provides consulting, outsourcing and software solutions to financial services industry clients. We believe that the best run organizations make well-informed decisions with input from finance, operations, compliance, risk, technology, trading and marketing. Oyster offers our clients services in these areas from our platforms. Our experienced industry practitioners add more value than career consultants and help us approach each client with practical solutions to their challenges.
Presults is a leading provider of messaging compliance, archiving, and discovery for registered advisers. The Presults self-regulating platform drastically reduces compliance risk and the cost of manual reviews by utilizing smart AI-powered risk models.
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Six Lambda is a structured data solutions provider that provides a pay-to-play monitoring and testing service for compliance professionals. We scrape Federal, State, and Local public data sources on a daily basis to provide a comprehensive database that can be used for monitoring political contributions. The service allows clients to verify contributions that were pre-cleared, but more importantly, confirm those which were not. Whether its daily monitoring or ad hoc reporting, Six Lambda can help you and your firm manage political giving policies.
Instant on Cybersecurity operations focusing on implementing your compliance while using your tools or ours. Proactive threat detection, security device management, collection-storage of log data, incident validation and response, and remediation guidance are at the core of our services to support your compliance.
VComply is an intuitive cloud based platform that modernizes how people work and interact with GRC processes across the enterprise. It is used to organize, report, and analyze GRC data with increased collaboration, transparency, and accountability.