Fall 2011 Compliance Conference

Battea is an outsourced provider of the industry’s leading securities class action settlement recovery service. Battea streamlines the complex securities class action claims filing process for financial institutions utilizing our proprietary Claims Engine ®, a trade analysis database. Battea maximizes settlement recoveries while providing unparalleled transparency via online case tracking/reporting tools.

Smarsh® provides hosted solutions for archiving electronic communications, including email, instant messaging and social media platforms such as Facebook, LinkedIn and Twitter. Founded in 2001, Smarsh helps organizations manage and enforce flexible, secure and cost-effective compliance and records retention strategies.

Lowenstein Sandler's Investment Management group, named among the nation's preeminent practices for its representation of hedge funds and private equity funds in "Best Law Firms," published by U.S. News and Best Lawyers, represents more than 200 domestic and offshore hedge funds, private equity funds, venture capital funds and other pooled investment vehicles as well as leading private investment market participants.

The National Society of Compliance Professionals, Inc.(NSCP) is the only membership organization exclusively serving the securities compliance profession. NSCP is THE source for information, education, certification, networking and advocacy. NSCP's diverse membership includes over 1880 professionals at investment advisers, broker-dealers, insurance companies, investment companies, hedge funds, and banks, as well as the law, consulting and accounting firms who serve them.

Albridge, an affiliate of Pershing, is a leading provider of enterprise solutions, custom technology and business consulting services to institutional and retail financial organizations and independent registered investment advisors. Albridge draws upon its financial services experience and technology expertise to help financial organizations enhance their operating performance and maximize their productivity. Albridge's wealth management technology consolidates and reconciles client account information from hundreds of data sources that represent banking, brokerage, insurance, retirement, managed accounts and more.

Since 1987, Laserfiche® has used its Run Smarter® philosophy to create simple and elegant enterprise content management (ECM) solutions. More than 30,000 organizations worldwide—including numerous investment advisors, financial advisors and broker-dealers—use Laserfiche software to streamline document, records and business process management.

Founded in 1999 by IT veterans from the banking industry, RethinkIT is a boutique IT services provider with particular expertise in compliance solutions. We tailor a complete IT platform that gives you stable technology solutions. We provide design, deployment, monitoring, backup & disaster recovery, social media solutions, project management, 24x7x365 support and more.

Universal Investigation Services is a full service private investigation firm. We specialize in corporate investigations and have developed the best employment background check in the finance industry. Our prices are reasonable and our work product is the best. Know who you are hiring before it is too late!

ProxyEdge^® is the internet tool that helps you streamline proxy voting. Manage, track, reconcile and report your proxy voting through electronic delivery of ballots, online voting, integration of vote research and recommendations and SEC compliant record keeping. ProxyEdge^® helps reduce the time, paper and effort associated with the proxy process.