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.

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Duff & Phelps is 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.

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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.

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We help compliance, risk and investment operations teams save time and reduce risk through the intuitive automation of shareholding monitoring and disclosure processes. Our services have been designed based on the input provided by the real compliance experts – the FundApps user community. Combining software and up-to-date regulatory content our services address the key challenges of position limits and shareholding disclosure monitoring. By supporting 95 jurisdictions we’re extremely attractive to clients with an international approach to investment, as well as those with offices in multiple countries.

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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.

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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.

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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.

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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.

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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.

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