2019 Compliance Conference Exhibitors & Sponsors
Fidelity Clearing & Custody SolutionsSM provides a comprehensive clearing and custody platform, brokerage services, trading capabilities, and practice management consulting to broker-dealer firms, banks, insurance companies, registered investment advisors—including, strategic acquirers and professional asset managers—and retirement recordkeepers. FCCS’ goal is to help institutional clients be future-ready by offering access to our exceptional people, knowledgeable consultations, and transformative technology. https://fiws.fidelity.com
Advent, a business unit of SS&C, is helping over 4,300 investment firms in more than 50 countries – from established global institutions to small start-up practices – to grow their business and thrive. Delivering unparalleled precision and ahead-of-the-curve solutions for more than 30 years, Advent works with clients to minimize their risk and help them shape the future of investment management. For more information visit www.advent.com.
Thursday Lunch Sponsor
McDermott Will & Emery partners with leaders around the world to fuel missions, knock down barriers and shape markets. With 20 locations on three continents, our team works seamlessly across practices, industries and geographies to deliver highly effective—and often unexpected—solutions that propel success. More than 1,100 lawyers strong, we bring our personal passion and legal prowess to bear in every matter for our clients and the people they serve. https://www.mwe.com/
Friday Lunch Sponsor
Ropes & Gray is a preeminent global law firm with approximately 1,300 lawyers and legal professionals serving clients in major centers of business, finance, technology and government. The firm has offices in New York, Boston, Washington, D.C., Chicago, San Francisco, Silicon Valley, London, Hong Kong, Shanghai, Tokyo and Seoul, and has consistently been recognized for its leading practices in many areas, including private equity, M&A, finance, investment management, hedge funds, real estate, tax, antitrust, life sciences, health care, intellectual property, litigation & enforcement, privacy & cybersecurity, and business restructuring. www.ropesgray.com
Treliant provides financial services companies, consumer-oriented businesses, and non-financial services companies with trusted advisory services that strengthen compliance, risk management, and business performance. As a firm of leading professionals from industry and government, Treliant focuses on clients’ most pressing concerns, including consumer compliance, global financial crimes, mortgage operations, financial markets conduct, fair and responsible banking, litigation support, wealth management compliance, and cybersecurity. For more information, visit www.treliant.com.
Bag Insert Sponsor
Morrison & Foerster is a global firm of exceptional credentials, representing clients whose businesses span the breadth of the investment management industry. We advise on a full range of disclosure, regulatory, counseling, and transactional matters relating to the federal securities and derivatives laws, including the Investment Company Act, the Investment Advisers Act, the Securities Act, the Securities Exchange Act, the Commodity Exchange Act, and other related financial services laws. Our clients include financial service providers, investment vehicles, and companies that sponsor innovative financial products, including fintech and blockchain products. www.mofo.com
ACA Compliance Group (ACA) is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, ACA clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA services and develops its products with a team comprised of former SEC, FINRA, FSA, NYSE, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. www.acacompliancegroup.com
Atlantic Fund Services specializes in fund administration, fund accounting, transfer agency and compliance services for mutual funds and other commingled investment pools. Since 1986, Atlantic's consultative approach has helped investment managers develop and start new funds and products. As administrator to one of the industry's oldest series trusts, Atlantic provides asset managers with high quality fund governance and compliance solutions at compelling costs. Visit www.atlanticfundservices.com or contact Jessica Chase, SVP Business Development, at 207-347-2016, to learn how Atlantic Fund Services can help you launch your fund, trade up in service, reduce your operational burdens and better manage expenses.
BasisCode Compliance is a leading provider of regulatory compliance software solutions dedicated to simplifying the compliance process. Our compliance management software helps manage the risk lifecycle from identification to resolution enhancing compliance controls and decision-making to safeguard your firm and clients. From core compliance to personal trading and insider trading, each BasisCode software solution is available as a stand-alone product or offered as part of an integrated package. The company’s hallmark, audit-ready capability is available in all BasisCode solutions and helps firms maintain a culture of compliance. For more information visit www.basiscode.com.
The Bates Compliance Solutions team of experienced industry professionals provide comprehensive offerings for broker-dealer and registered investment adviser clients, assisting them with supervision, compliance, risk assessments, WSPs, AML and internal audit functions. Bates can perform as-needed or ongoing reviews and guidance to meet your regulatory compliance obligations. Our seasoned professionals closely review and test policies and procedures, supervisory and compliance processes, and the related practices involved in operating your business, recommending changes and industry standards to supplement and enhance clients' compliance and supervisory systems, and to remediate the results of regulatory, litigation, and internal audit findings and decisions. https://www.batesgroup.com/
Broadridge, a global fintech leader with $4 billion in revenue, provides communications, technology, data and analytics. We help drive business transformation for our clients with solutions for enriching client engagement, managing compliance, navigating risk, optimizing efficiency and generating revenue growth. Our integrated platforms translate data into insights and streamline the investment lifecycle. We are uniquely positioned to help asset managers get ahead of today’s challenges and capitalize on what’s next. http://www.broadridge.com
Cipperman Compliance Services(CCS) provides managed compliance services to alternative investments, including hedge and private equity funds, as well as registered funds and money managers. CCS is the industry leader of compliance outsourcing. With 80-plus domestic and international relationships, services delivered include: acting as the firm's Chief Compliance Officer (CCO) to providing a team of resources that executes and delivers compliance support. At CCS, compliance is all we do. We have no distractions or other business to serve. We work with a wide range of financial services organizations, enabling us to offer best practices solutions to your regulatory challenges. https://cipperman.com/
Compliance Solutions Strategies 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, SFTR, Solvency II, VAG, GroMiKV, CRR & Solva. https://www.compliancesolutionsstrategies.com
Core Compliance & Legal Services, Inc., specializes in compliance and risk management for the financial industry. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. CCLS understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of your firm. For more information, please visit http://www.corecls.com/.
Hardin Compliance Consulting LLC, a full-service compliance consulting firm based in Pittsburgh, Pa., offering expert regulatory compliance solutions and advice to investment advisers, broker-dealers, private equity and hedge fund managers. We offer our clients a customized compliance program using the Compliance Navigator®, a comprehensive, web-based system, using leading-edge technology to track and document testing and monitoring. In addition to acting as an out-sourced compliance team, we offer a range of services, including mock SEC exams, compliance program reviews, assistance in RIA and BD registration, and regulatory exam support. https://www.hardincompliance.com