Thank You to Our 2024 Exhibitors
Use IAA Access to view and reserve a range of opportunities to connect with and engage investment advisers at the 2024 Compliance Conference and beyond.
If you have questions, please contact Alex Ioannidis.
Broadridge, a global fintech with over $4 billion in revenue now part of the S&P 500 Index, provides communications, technology, data and analytics. We help drive business transformation for our clients with solutions for enriching client engagement, navigating risk, optimizing efficiency and generating revenue growth.
For over 40 years, DFP Partners has been a committed partner in financial accounting and compliance to Broker-Dealers and Registered Investment Advisers. We provide a range of services covering everything from outsourced FinOp and CCO roles to AML testing and cybersecurity compliance consulting.
Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions. At Quest CE, our goal is simple: we want to be your one-stop-shop for compliance technology, training and support. We’re proud to work with some of the nation’s most prestigious financial institutions, as well as their 600,000 end users – a number that continues to grow daily.
Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes navigate the increasingly complex regulatory landscape. Our solutions offer risk minimization, cost reduction, and process optimization capabilities. Our suite of 17(a)-4/WORM compliant features are designed to evolve in step with the ever-changing regulatory landscape, ensuring that it easily scales and our clients always stay ahead of the curve.
Renaissance Regulatory Services, Inc. provides comprehensive regulatory, compliance, and operational consulting and support services to broker-dealers, investment advisers, private funds, investment companies, and banks. We specialize in SEC, FINRA and State compliance examinations, written supervisory procedures, internal controls testing, regulatory reporting, and registration services. RRS has also served as an independent consultant on a wide range of regulatory undertakings for investment advisers, broker-dealers and other financial institutions as well as providing litigation support in regulatory matters. Our services are customized to fit each firm’s unique operations.
SS&C Advent, a business unit of SS&C, is helping 4,300+ investment firms in more than 50 countries grow their business, minimize risk, and thrive. The Advent Investment Suite (AIS) specifically is built to support investment managers. AIS offers customized and complex portfolio management at scale, rebalancing, trading, compliance, multi-currency accounting, reporting, and performance.