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17a-4, llc provides Designated 3rd Party services and compliance consulting services for electronic records.  We consult on archival technologies, supervision policies and lexicons and eDiscovery productions.  We work with over 800 financial institutions to ensure their compliance with Rule 17a-4 and other retention regulations.

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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.

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ACI provides compliance consulting and outsourcing services for broker-dealers and investment advisors. We assist with registration, audits, finop outsourcing, SEC Exam Preparation, and other accounting and compliance related services specific to broker-dealers and investment advisers. Contact us at info@acisecure.com or 212.668.8700.

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Make Compliance an Asset with Advent Rules Manager®.

Advent Rules Manager® is a comprehensive solution for trading compliance and portfolio monitoring, you can turn your manual policies and procedures into automated processes and take compliance to a new level. Implement the proactive controls and improved tools to monitor trading and allocations.

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Adviser Compliance Consulting Inc.  a compliance consulting firm that provides pro-active compliance solutions to registered investment advisers, hedge funds, private funds, investment companies, private equity and financial professionals, including outsource CCO service.

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From concept through launch, AdvisorAssist guides world-class advisory firms through strategy, registration, transition, compliance and business management. For established firms, we provide the ongoing business, strategy and risk management support that enables advisors to focus on growing their practice.

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Alaric Compliance Services, LLC, is a leading provider of regulatory compliance solutions serving the needs of a broad spectrum of investment management clients. Founded in 2004, the Alaric team is comprised of former regulators, in-house compliance officers and attorneys with offices in NYC, Washington D.C., Chicago and LA. Visit http://www.alariccompliance.com.

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AML Audit Services, LLC (“AMLAS”) is an Anti-Money Laundering consulting firm, comprised of certified AML specialists with an expertise in independent testing.  Whether you are a BD, mutual fund, or investment advisor, our extensive knowledge of AML compliance requirements and best practices in multiple sectors enables us to create a custom approach for each unique business model. To learn more, call AMLAS toll-free at 800-870-8076 or visit http://www.AMLAuditServices.com

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aosphere LLP is an affiliate of leading international magic circle law firm, Allen & Overy LLP. We specialise in providing user-friendly online subscription services covering complex legal areas such as shareholding disclosure, cross border marketing and data privacy. Please visit http://www.aosphere.com for more information and a free trial.

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Artemis provides end-to-end solutions to financial services firms for Compliance and IT Security. Our offerings address Regulatory and Technology concerns. Services range from Risk Assessment and Framework Implementation to Vulnerability Scanning and Penetration Testing. Artemis can assist you in safeguarding your firm’s reputation and future.

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Asgard Regulatory Group, LLC (“Asgard”) specializes in providing regulatory compliance and business advisory services to broker-dealers; investment advisers and hedge funds to ensure they meet SEC, FINRA, MSRB and other governmental rules and regulations. Please visit our website at http://www.asgardcompliance.com or contact us at 631-801-2900. 

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Since 1994, B/D Compliance Associates, Inc. (“BDCA”) specializes in broker/dealer and registered investment advisor compliance consulting.  We help clients sort through FINRA, SEC and state compliance challenges as well as regulatory audits by providing clear, accurate analysis and expertise. In regulatory matters, BDCA serves as a liaison that ultimately saves time and internal staff resources by providing a full service outsourced compliance solutions.  We offer practical regulatory compliance advice and a flexible solution that is tailored to client’s regulatory requirement.

B/D Compliance Associates is a certified Women’s Business Enterprise (“WBE”).

For more information, contact us at 770-923-9632, at info@bd-compliance.com or visit us at http://www.bd-compliance.com/

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BasisCode Compliance offers the industry’s broadest integrated software that improves compliance management for investment advisers, broker/dealers, third party administrators, compliance consultants and other service providers.  Centralized and intuitive, our rules-based workflow solutions span functionality, from testing and risk assessment to personal trading and certifications, within a single unified platform.  We also offer the industry’s first self-subscription compliance management service, a full-featured yet cost-effective service designed for small to medium-sized firms that may not otherwise have the resources to implement a comprehensive automated system to reduce regulatory risk.  For more information, visit http://www.basiscode.com, call (678)819-1991, or email info@basiscode.com.

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Bates Compliance, a division of Bates Group, brings tailored compliance solutions to financial services clients. Our team includes senior compliance staff and former regulators who test policies, procedures, and processes, recommending changes and best practices to enhance compliance and supervisory systems and remediate the results of regulatory and litigation findings.

Visit us at batescompliance.com.

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Bloomberg Briefs provides financial professionals a competitive advantage in a world changing faster than ever before. Briefs gives hedge fund professionals, economists, oil traders and others actionable ideas and insights into diverse regions, industries facing disruptions and markets large and small. See just some of what Bloomberg Briefs can do for you here.

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Bloomberg Vault is an end-to-end, cloud-based secure hosted platform that consolidates your compliance, legal and data management processes into an integrated, real-time system.

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BNY Mellon, a recognized leader in compliance solutions, helps firms reduce risk and increase efficiency through ClearSky, one of the most reliable, cost-effective Blue Sky compliance services available today. We also offer a streamlined Advertising Review Solution for online tracking, annotating, and 17a-4 archiving of advertising materials.

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Bridge Capital Associates, Inc. is an independent contractor model broker/dealer for intermediaries with combined industry experience of over 40 years.  Bridge is a broker/dealer member with the Financial Industry Regulatory Authority and a registrant with the SEC and several states. Whether FINRA registration is required as a Series 79 or 82 for an individual or an entire team, Bridge Capital can sponsor your securities transactions through our unique platform.  Bridge Capital works with intermediaries on all types and sizes of private placements, M&A and PIPE transactions.

Bridge Capital is a certified Women’s Business Enterprise (“WBE”).

For more information, contact us at 770-923-9632, at info@bridgecapitalassociates.com or visit us at http://www.bridgecapitalassociates.com/

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Broadridge is the leading provider of investor communications, technology-driven solutions, and data and analytics for wealth management, asset management and capital markets firms, and corporations. We help clients drive operational excellence to manage risk, accelerate growth and deliver real business value. Our technology-driven solutions power the entire investment lifecycle, enabling our clients to successfully manage the complexity and operational requirements of today’s capital markets. Broadridge is at the forefront of multi-channel communications, strengthening our clients’ capabilities to communicate with their clients and investors and meet regulatory requirements.

Broadridge’s infrastructure underpins proxy voting services for over 90% of public companies and mutual funds in North America, and processes on average $5 trillion in equity and fixed income trades per day. Broadridge employs approximately 7,400 full-time associates in 14 countries. For more information about Broadridge, please visit http://www.broadridge.com.

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  • Support RIAs and BDs in the development and administration of their compliance programs.
  • Serve as outsourced GC to draft, coordinate, and review all legal documents of the firm.
  • Conduct due diligence and monitor activities of sub-advisers, third-party managers, and service providers.
  • Represent the adviser before the SEC and other regulators.
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