Master compliance with greater confidence.
For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
Browse Solutions For Investment Advisers
For Broker-Dealers
Proven experience to guide you through regulatory and compliance issues.
Browse Solutions For Broker-Dealers
For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
Browse Solutions For Hedge Fund Managers
For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
Browse Solutions For Investment Companies
Third Party Due Diligence Practices (Webinar)
April 21, 2020
Join us for this interactive webinar where we will address the compliance challenges faced in overseeing and evaluating third parties.
Upcoming Events
Industry Perspectives
SEC Extends ADV and PF Filings…Eases Reqs for Advisers Impacted
SEC announced that it is further extending required filing and delivery deadlines for investment advisers whose ability to make timely filings has been affected by the coronavirus.
Compliance Considerations during the COVID-19 Crisis
Gain insight, understanding and the practical suggestions you need as a compliance officer for how to respond to the unique challenges all are facing in the current Coronavirus pandemic.
