Gain confidence in your compliance program by partnering with the experts.
We provide backend support services to investment advisers, broker-dealers and other financial institutions through five distinct practice areas:
Compliance Administration
Full-service and ongoing compliance administration.
Cyber Solutions
Comprehensive data and cyber security solutions, including data security testing, vendor due diligence and more.
Investment Administration
Participant record keeping, investor reporting, fund accounting and more.
Performance Services
GIPS® compliance consulting and maintenance and outsourced composite maintenance solutions.
Regulatory Filings
A Truly Full-Service Partner
We prioritize relationship and high-quality, high-touch service to get results.
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Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
NSCP Currents: Using Litigation Releases as Case Studies: The SEC’s First Reg BI Case
NSCP Currents: Using Litigation Releases as Case Studies: The SEC's First Reg BI Case
SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft What happened? The SEC announced in a press release that it separately charged [...]
SEC Examination Requests Regarding E-signatures
SEC Examination Requests Regarding E-signatures What happened? Electronic signatures have become an important part of advisers’ daily business. While the SEC’s Division of Exams (EXAMS) has not yet published [...]
The New Marketing Rule: Part 7 – Third Party Ratings
The New Marketing Rule: Part 7 – Third Party Ratings What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and [...]
The New Marketing Rule Part 6 – Categories of Performance and Their Requirements
The New Marketing Rule Part 6: Categories of Performance and Their Requirements What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising [...]
Risk Alert: Pirated copy of popular app being used to spread information-stealing malware
Risk Alert: Pirated copy of popular app being used to spread information-stealing malware WHAT HAPPENED? Malware that steals your passwords, credit cards, and crypto wallets is being promoted through search [...]