Master compliance with greater confidence.
For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
Proven experience to guide you through regulatory and compliance issues.
For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
Are you ready for AML Scruitiny?
Regulatory concern about money-laundering activity is only increasing, and financial institutions are pumping money and human resources into maintaining adequate compliance programs.
Demystifying the New SIE Exam
Since FINRA’s SIE Exam was introduced last year, FINRA has held its cards close to its chest, electing to hold on to a lot of the data on enrollment numbers and/or passing ratios.