C2 19 Sponsors


2019 Compliance Conference Exhibitors & Sponsors

Conference Sponsor

FidelityFidelity 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

Conference Supporter

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

Lanyard Sponsor

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

MorrisonFoerster.pngMorrison & 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/

BBD provides a complete suite of solutions for the investment management industry's accounting, audit and tax needs, including for mutual funds and ETFs; private funds; investment advisors and broker-dealers; and investment management industry service providers. Our professionals have dedicated their careers to the investment management industry and to delivering a valuable audit and tax experience. They ensure our clients are always serviced by a team with significant industry expertise and always receive the highest level of service. Stay current on investment management industry audit and tax issues at bbdcpa.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

Millennium Trust Company is your ally in the custody of investments—both traditional and alternative. Whether launching a new fund and planning to raise capital or operating an established fund with significant assets under management, we help funds and organizations meet custody requirements and investor demand for transparency. Learn more about Millennium Trust Company at www.mtrustcompany.com.

Built specifically for asset managers and hedge funds, Nasdaq Buy-side Compliance is a trade surveillance platform built to help buy-side firms comply with global regulatory requirements such as MiFID II and MAR. The award-winning technology uses behavioral science to detect manipulative behaviors such as insider trading, front-running, market manipulation, and more. Using behavioral profiling algorithms, Nasdaq Buy-side Compliance identifies trading patterns outside of individual benchmarks, flagging rogue trading patterns more accurately and efficiently. This reduces the amount of time compliance teams spend on investigating false positives, saving time and improving workflow efficiencies. www.nasdaq.com

NCS Regulatory Compliance is the nation’s premier regulatory compliance consulting firm and offers the deep investment adviser and broker-dealer expertise that makes the critical difference to our clients. Their knowledgeable consultants work closely with you providing dedicated support to assess your compliance needs and develop a proactive strategy that is effective and easy to implement, while anticipating and planning for regulatory changes. NCS Regulatory Compliance will help you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies. Learn more about NCS Regulatory Compliance by visiting www.ncsregcomp.com or calling 800-800-3204.

NRS is the leader in compliance solutions for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. NRS has the practical expertise, proven capability and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within financial services. NRS delivers these solutions through three interrelated offerings – comprehensive education, best-in-class technology and expert consulting services – enabling clients to meet regulatory requirements and minimize risk. NRS is part of Accuity, the global standard for optimal payment efficiency, compliant transactions, bank counterparty insight and AML screening success. https://www.nrs-inc.com

Quest CE is the premier provider of compliance management solutions to the financial services industry. In addition to offering on-demand continuing education and conflict of interest tracking, Quest CE provides a complete spectrum of proprietary technology solutions for managing and mitigating risk exposures. Serving more than 1,000 leading broker-dealers, investment advisors, municipal securities firms and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. For more information on Quest CE, visit www.questce.com.

Red Oak’s software is the advertising compliance review software of choice in the financial services industry with clients having over $14 trillion in assets under management. Clients range from single State Advisers to many of the world’s largest asset managers. Discover why the biggest firms in the industry rely on Red Oak for faster approvals, books and records compliance, and improved efficiency. https://www.redoakcompliance.com/

Renaissance Regulatory Services provides compliance consulting & support services to investment advisers, private funds, investment companies and broker-dealers. RRS specializes in compliance examinations, supervisory procedures, registration services, financial book-keeping, and ongoing compliance support services. We customize our services to fit your firm’s operations. RRS’ staff consists of former regulators and compliance professionals who have extensive experience with federal, SRO and state rules and regulations. www.RRSCompliance.com

RIA in a Box ® provides customized compliance and cybersecurity solutions that drastically cut the time and expense required to launch, run, and grow an independent RIA business. By using award-winning technology paired with human expertise, we offer high-quality support on a subscription basis, with no hourly billing surprises. Our innovative software streamlines operations, simplifies collaboration with our consultants and enables advisors to automatically “document-while-doing” regular business activities. We offer solutions to fit independent firms of every size and need, whether they’re registering a new firm, preparing for an audit, updating regulatory filings, or looking to make their processes more efficient.  https://www.riainabox.com/

Six Lambda helps you automatically monitor any campaign donations of your employees at the federal, state and local level. Most compliance systems rely on pre-clearing donations, leaving gaps in the process. Six Lambda provides a verification layer. We scrape contribution data at the federal, state, and local level. Even if your employee does not pre-clear a campaign donation, you will know about it through our rigorous search capabilities. We’ve then standardized the information into a central database to easily query daily for your firm. We are currently serving clients managing $180 billion in AUM. Protect yourself and your employees with Six Lambda. https://www.sixlambda.com/

Vigilant is the leading public records monitoring solution. Our compliance solutions help teams in financial services monitor for potential risks like undisclosed employee political contributions and outside business activities. Our political contribution data is the most accurate and comprehensive available - including all 50 states, federal data, and extensive coverage of cities and counties (all updated daily). Compliance teams ranging from small investment firms to large global banks use the Vigilant platform to save significant time and resources while helping avoid risks and ensure policy adherence. Contact us to learn more about how our solutions can help your team save time and reduce risk. https://vigilant.cc