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CFM Partners, Inc.
CFM Partners, Inc. is a Governance, Risk and Compliance (GRC) company based in Washington, DC. We provide comprehensive cloud-based policy management, education, regulatory monitoring and compliance solutions to the financial services industry. As a knowledge-based company, we understand the industry, its regulatory environment and the importance of putting the right information into the right hands at the right time. The combination of our industry expertise and innovative technology allows us to deliver comprehensive solutions for effective compliance program management.


ExamFX is the leading provider of online prelicensing exam preparation for the Insurance and Financial Services industries.  Streamlined content, state-specific and testing provider-specific simulated exams, live webinars, virtual flashcards, videos, and mobile apps.  Series 6, 63, 7, 65, 66, 24, 26, Life & Health, Property & Casualty, and Continuing Education.


IMP Consulting helps buy-side investment management firms and hedge funds successfully implement and maintain trading and compliance systems. We also offer advisory services, system review and selection, and management of outsourcing projects. IMP helps firms improve efficiency, keep costs down, and decrease time-to-market on investment technology initiatives. To learn more, please visit http://www.impconsults.com.


NAPLIA is an independent, national insurance agency established in 1998 that provides professional liability/errors and omissions insurance and consulting services to Investment Advisors, Third Party Administrators, and Broker/Dealers. NAPLIA has been named to the Inc 5000, fastest growing private companies, annually since 2008. For more information, please visit our website at http://www.naplia.com


Innovation, compliance, and our partnerships with clients are the driving forces behind everything we do at SiteQuest Compliance. With the ever-increasing velocity of online communications, we know the challenges of our industry. Every day, thousands of advisors online presence and advisor websites are being monitored and documented with the aid of our industry-leading compliance and supervision applications. Contact us today to see how we can work together to lower your risks and increase your efficiencies, all at a reasonable and affordable price.


Knopman Marks has trained candidates for securities qualification exams for 25 years and achieves the industry’s highest first-time pass rates. We partner with firms and students to design customized exam strategies, answer questions, and provide individualized support throughout the prep process.  Our single focus is exam success for all candidates.


Starkweather & Shepley’s primary objective is to focus on our two greatest assets: Our employees and our clientele. Our guiding vision is to foster an empowering workplace encouraging employee growth, advancement, and self-actualization. We promise to continually strive to transcend customer expectations, and to consistently deliver our extraordinary service paradigm. We are a sales driven, community focused organization, achieving the highest degree of professional standards and ideals. Our partnership with exceptional industry resources creates a platform to offer insurance, risk management, and related services to a global economy.


Today’s businesses demand one authoritative source to assemble their regulatory data requirements in the most efficient and productive manner. That’s the philosophy behind CSS.

CSS uniquely brings together innovative, technology-driven, award-winning solutions to support financial services firms in navigating a clear and strategic path through the complex and overlapping regulatory requirements they face globally. Our services cover a full range of compliance disciplines spanning regulatory reporting, regulatory data management and distribution, post-trade monitoring and analytics, and compliance management and best practices.

We can help ease the burden as a single source for your reporting needs to comply with the challenging requirements of regulations including AIFMD, CPO-PQR, Form ADV, Form PF, GDPR/Cybersecurity, MiFID II, Position Limit & Substantial Shareholding Disclosures, Post Trade Compliance, PRIIPs, Rule 38a-1 & Rule 206(4)-7, SEC/Reporting Modernization/LRMP, Solvency II, VAG, GroMiKV, CRR & Solva.


With over forty (40) years of experience in the financial services industry, the staff of PFG provides compliance and operational consulting services to financial institutions.


Cobaltix Compliance offers financial organizations an opportunity to collaborate with a boutique firm with expertise in the area of cybersecurity. We strengthen our client’s security stance and look at their overall risk from a technology perspective. Services in our core expertise include risk and vulnerability assessments, assisting in writing security policies and procedures, cybersecurity training, and vendor due diligence.


Cipperman Compliance Services is an independent entity offering a third-party perspective on regulatory compliance. CCS grew out of Cipperman & Company, a law firm focused exclusively on the investment management industry and related regulatory issues.


Fidessa‘s buy-side solutions cover every stage of the investment process, and every instrument you might want to trade. Our products are used by over 200 customers, from some of the largest investment managers in the world to the most agile and respected boutiques and hedge funds.

Our buy-side solutions include award-winning compliance with pre-and post-trade capabilities, portfolio management to handle diversified portfolios and innovative investment techniques -often supported by the increased use of derivatives and other complex instruments – and order and execution management tools that keep pace with an ever-changing landscape of new liquidity venues.

Fidessa’s execution tools can also be deployed as a Buy-side Workstation for integration with internal and third-party order generation systems. The Workstation is delivered as a fully hosted, broker-neutral platform supplied with market data and trading integration via the Fidessa network. The network provides FIX connectivity between 2,650 buy-sides and 650 brokers across 160 global markets.


Innova Learning is a leading provider of e-learning courses and solutions to the financial services industry. Innova combines high quality and interactive content to deliver role-specific e-learning that increases learner retention. Innova offers off-the-shelf and customized course development; mobile and hosting services also available. Visit http://www.innova-learn.com or call 888.388.5447.


For over 30 years as the nation’s leader in compliance and registration products and services for financial services firms, NRS has helped clients guide their compliance strategy, minimize their risk and lower their costs.  We utilize three synergistic product lines in technology, education and consulting to create customized compliance solutions for our clients.


Solomon Exam Prep has helped thousands of financial professionals pass their Series 6, 7, 62, 63, 65, 66, 24, 26, 27, 28, 50, 51, 52, 53, 62, 79, 82 and 99 licensing exams.  Solomon’s study solutions include Digital and Print Exam Study Guides, Online Exam Simulators, Audiobooks, and Video Lectures to ensure that your students pass the first time! Based on learning styles and memory research, Solomon’s study solutions are designed for easy consumption and maximum retention. Raise your firm’s pass rates and lower your costs with Solomon! http://SolomonExamPrep.com


JLG is a full service corporate and securities law firm with experienced and accomplished attorneys who handle General Counsel, Mergers and Acquisitions, Regulatory Examination Counsel and Compliance Counsel matters. JLG offers a Quick Response Team service for issues that require immediate and competent action.


TD Ameritrade is focusing on your firm’s unique employee trading and monitoring needs through a consultative, best practices approach. Designated Brokerage Services provides comprehensive solutions combining leading edge technology with highly experienced service teams in order to help you manage risk while helping to provide the ultimate employee experience.


SEC Compliance Solutions LLC assists new investment advisers, established RIAs, and private fund advisers with streamlining compliance programs while meeting all SEC requirements. The SEC makes the rules; we make it easy for RIAs to apply them. Our customized, practical approach simplifies your processes and reduces your risk of oversights.


Interactive Compliance Training (ICT) – a suite of 100 mobile-ready eLearning topics, built on 25 years of global learning expertise. ICT is relied on by some of the world’s biggest companies to meet their regulatory workforce training requirements in the US, Europe, and Asia.

Your compliance training matters to us.


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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