2020 Compliance Conference Exhibitors & Sponsors
Fidelity Clearing & Custody Solutions® provides a comprehensive clearing and custody platform, brokerage, investment, and reporting services, trading capabilities, and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and professional asset managers, retirement recordkeepers, broker-dealer firms, banks, insurance companies, family offices, and wealthy families. The goal of Fidelity Clearing & Custody Solutions® is to help clients ensure that they are always future-ready by providing knowledgeable consulting, exceptional people, and transformative technology. https://clearingcustody.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.
Welcome Reception Sponsor
Baker McKenzie's North America Financial Regulation & Enforcement Practice provides clients with a full range of regulatory advice and enforcement counseling. This integrated approach helps clients navigate the challenges presented by developing new products and offering financial services in a rapidly changing regulatory environment, while simultaneously considering how to assess and minimize potential enforcement exposure. Enforcement investigations and regulatory examinations are similarly addressed, not only with considerable enforcement experience, but also by fully leveraging the enormous value added by regulatory expertise. www.bakermckenzie.com
Thursday Breakfast Sponsor
OneTrust is the #1 most widely used privacy, security and third-party risk technology platform trusted by more than 4,500 companies to comply with the CCPA, GDPR, ISO27001 and hundreds of the world’s privacy and security laws. OneTrust’s primary offerings include OneTrust Privacy Management , OneTrust PreferenceChoice™ consent and preference management, OneTrust Vendorpedia™ third-party risk management, OneTrust GRC integrated risk management and OneTrust Ethics compliance and ethics software. https://www.onetrust.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
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
Compliance Solutions Strategies is a trusted global RegTech partner that uniquely brings together innovative technology-driven solutions to support financial services firms in navigating a clear and strategic path through the complex and fragmented global regulatory space. Our solutions and services help firms meet regulatory deadlines while optimizing compliance data, operations and technology. CSS covers a full range of compliance disciplines spanning global fund reporting, global transaction reporting, global threshold management, RBOR (regulatory book of record), regulatory expertise and managed services. For more information on CSS, please visit: https://www.compliancesolutionsstrategies.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
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. 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/
ComplySci is a leading provider of regulatory technology solutions that help compliance professionals identify, manage and report on employee conflicts of interests and compliance risk activities, including personal trading, political contributions, and other violations. Founded in 2003, ComplySci is a pioneer in the development of automated compliance management solutions and is trusted today by over 1,100 customers, including some of the world’s largest financial institutions. ComplySci is backed by Vista Equity Partners, a leading investment firm that exclusively invests in enterprise software, data and technology-enabled organizations led by world-class management teams. https://www.complysci.com.
Core Compliance & Legal Services, Inc., ("Core Compliance") 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. Core Compliance understands the complexities of the securities business and offers proactive and effective solutions based on the unique culture, identity and needs of your firm. For more information, please visit https://www.corecls.com/.
Financial firms must innovate or risk becoming obsolete. Foreside pairs comprehensive and customized advice with best-in-class technology to help firms in the investment management space continue to innovate, improve and grow. We tap state-of-the-art technology to help firms drive operational efficiency and flourish in today’s regulatory environment. Foreside’s suite of services and platform-based model automate and simplify compliance and distribution for firms, and are designed to scale as clients grow. With Foreside as a partner, firms can dedicate time and effort to portfolio management, client service, and other value-adding work. https://www.foreside.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.
Red Oak's software is the advertising compliance review software of choice in the financial services industry with clients having over $29 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/
RIA Registrar, LLC is a registration and compliance consulting firm for independent registered investment advisors (RIAs). We provide State and SEC registration services as well as ongoing compliance and administration solutions that enable RIAs to operate in good standing. We help firms understand the language of compliance and work relentlessly to ensure you’re ready to be an independent, and compliant, RIA. Our high-quality services allow you to concentrate on what’s truly important, taking care of your clients. For more information visit https://riaregistrar.com.