Compliance Conference 2020 Sponsors

C2 2020

2020 Compliance Conference Exhibitors & Sponsors

Conference Sponsor

FidelityFidelity 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.

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

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.

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.

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.

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.

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.

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: 


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.

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

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.

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.

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. 

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.

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

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.

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.

Founded in 2000, Millennium Trust works with your clients to provide specialized custody solutions for alternative and traditional assets. From institutional funds looking to comply with the Custody Rule or attract new investors, to individual investors looking to invest in alternatives to diversify their portfolio, Millennium Trust is your ally for specialized custody solutions. Learn more at

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.

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

Red Oak Compliance SoftwareRed 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.

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.

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

Six Lambda is a structured data solutions provider that provides a pay-to-play monitoring and testing services for compliance professionals. The company scrapes Federal, State, and Local public data sources on a daily basis to provide a comprehensive database that can be used for monitoring political contributions. The service allows clients to verify political contributions that were pre-cleared, but more importantly, confirm those which were not. Client exposure to the risks of pay-to-play are reduced while an efficiency is created for the compliance team. The days of manually searching public website are gone. We are currently serving clients managing over $500 billion in AUM. Protect yourself, your employees with Six Lambda.

Enhance how you monitor your employees’ personal trading with TD Ameritrade Designated Brokerage Services. Our approach combines sophisticated technology with dedicated service teams to help you manage risk while providing the ultimate employee experience. To learn more, contact us at (888) 376-4682 or visit TD Ameritrade, Inc., member FINRA/SIPC.

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.