2024 Investment Adviser Compliance Conference

ACA Group is a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions – as a strategic partner in serving and advancing the investment adviser industry.

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.

Charles Schwab: Employee personal trade monitoring made simple.  Effective personal trade monitoring requires powerful technology and strong support—and with Schwab Designated Brokerage Services, that’s exactly what you get.

As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services, and education to empower Chief Compliance Officers and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of compliance tasks. Our deep bench of industry expertise supports more than 7,000 clients, including private funds, registered investment advisers, and other financial service participants.

CyberSecureRIA is a cybersecurity firm that works with RIAs. We provide cybersecurity, full IT support, and cybersecurity compliance services. CyberSecureRIA is the exclusive cybersecurity partner for Smartria’s Cybersecurity Focus offering. We are one of the only firms that focuses on RIAs, has 100% of technical staff in the United States and is Apple Certified.

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.

Egnyte is the secure multi-cloud platform for content security and governance that enables organizations to better protect and collaborate on their most valuable content. Established in 2008, Egnyte has democratized cloud content security for more than 22,000+ organizations, helping customers improve data security, maintain compliance, prevent and detect ransomware threats, and boost employee productivity on any app, any cloud, anywhere.

One AI-powered platform to manage your entire SEC and FINRA compliance program. Hadrius is the leading AI compliance platform and is trusted to maintain compliance on $200b+ AUM across our clients. With modules covering communications review and archiving, marketing review, code of ethics, and trade monitoring, our clients save upwards of 70%+ of their time and 16hrs+ each week running their SEC and FINRA compliance program.

With 60 years of experience, 600+ team members in five domestic and four international offices, Kaufman Rossin provides professional services to businesses and their leaders, including but not limited to serving registered investment advisers, private fund managers, and broker-dealers with their regulatory compliance obligations. The Group includes Kaufman Rossin CPA + Advisors and Kaufman Rossin Alternative Investment Services. We provide regulatory compliance assessment and consulting, private fund accounting and fund administration, financial statement audit, and tax services.

MCO (MyComplianceOffice) provides integrated compliance management software that enables global firms to proactively manage compliance obligations and the regulated activities of employees, the company and third-party relationships.

With 20+ products on a singular system, our powerful platform helps 1300+ client companies across 105+ countries to move away from manual processes and towards more strategic compliance. Available as a unified suite or à la carte, our easy to use and extensible SaaS solutions get firms up and running quickly and affordably.

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.

Ridgeline is the cloud platform the investment management industry has been waiting for. Purpose-built with and for firms like yours, it brings together core functions like compliance, portfolio accounting, trade order management, and reporting with a single set of real-time data on an intuitive platform. Founded by tech icon Dave Duffield, Ridgeline’s 400+ employees across four offices are proud to be recently recognized as Frost and Sullivan’s “Technology Innovation Leader” and the “Emerging Market Competitor to Watch” by Datos Insights.

Saifr® enables financial services companies to generate compliant content up to 10x faster while reducing regulatory and reputational risks. Saifr’s AI “understands” content (text/images/audio/video), highlights potential compliance risks, explains why risks were flagged, proposes alternative language, and suggests relevant disclosures. Saifr’s robust NLP models are possible via access to data from millions of documents representing the work of thousands of marketing and compliance experts in various lines of business. Saifr’s models can be accessed via SaifrReview® or SaifrScan® Add ins.

Salus GRC offers comprehensive compliance and cybersecurity solutions to registered investment advisers, NFA members and broker-dealers. We help manage compliance programs, provide ongoing services, examination preparation, remediation, compliance testing, filings, written procedures and compliance projects. At Salus GRC you will receive personalized service, from experienced professionals. We have built Salus GRC to attract world-class professionals with a focus on providing the highest level of service, using technology-enabled processes.

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.

Stradley Ronon’s nationally recognized investment management group counsels investment advisers, from small fast-growing startups to large asset managers, on legal, compliance and regulatory matters arising under the Investment Advisers Act of 1940, the Commodity Exchange Act, federal and state privacy laws, ERISA, and other applicable laws and regulations. We also provide advice on corporate, tax, employment, mergers and acquisitions, and other related matters. In addition, we counsel clients on exam responses, internal investigations, and enforcement and litigation issues.

Wolf & Company has over 100 years of experience and offers a comprehensive suite of assurance, regulatory compliance, and tax services to registered investment advisers, exempt reporting advisers, family offices, and trust companies. Whether an emerging manager or an established firm with a lengthy track record, our expertise and understanding of your industry will enable us to provide you with relevant insights and practical solutions to issues critical to your operations. Our commitment to quality, along with our registration with and inspection by the Public Company Accounting Oversight Board (PCAOB), instills confidence in both investors and regulators.