GDPR Implications for U.S. Private Equity Fund Managers
Q2 2018 Regulatory Reporting Deadlines
SEC Requesting That Firms Submit Data via Formatted Template as Part of Investment Adviser Exams - What Your Firm Needs to Know
Our global compliance staff includes former SEC, FINRA, FSA, NFA, and state inspectors, along with former senior compliance managers from prominent financial services firms.
Our team of financial technologists works with CTOs, COOs, and CCOs at a broad range of firms to improve security infrastructures, provide advisory services, and conduct cybersecurity reviews.
Our team is the largest group of GIPS® professionals in the world solely dedicated to GIPS verification and related services.
We provide mission-critical financial software products and services to leading investment management firms.
Our team of AML and financial crime specialists works with banks and large institutions to provide advisory and technology services.
We offer a variety of engaging, dynamic educational opportunities so that you and your staff stay informed on regulatory initiatives, GIPS standards, cybersecurity, and industry topics.
ComplianceAlpha® is a centralized platform for managing your firm’s risk and compliance program. It is a modular system that integrates risk assessment and regulatory requirements; compliance controls, policies, and procedures; compliance activity tracking and testing; marketing and advertising reviews; cybersecurity and technology risk management tools; personal securities trading and code of ethics (Coming Soon); and trade surveillance (Coming Soon).