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.
BILLION
Assets Under Compliance
Administration
An Expert Team Makes All The Difference.
Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
Cybersecurity Awareness Month: Four Things You Can Do
Cybersecurity Awareness Month: Four Things You Can Do Cyberattacks are now seen as the biggest risk to businesses – outranking COVID-19, economic turmoil, skills shortages, and other issues, according [...]
NSCP Currents: ESG Considerations for Investment Advisers
ESG Considerations for Investment Advisers
16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures
16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures What happened? On Sept. 27, 2022, the Securities and Exchange Commission (“SEC”) charged 15 broker-dealers and one [...]
NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million
Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million What happened? On Sept. 20, 2022, the Securities and Exchange Commission (“SEC”) charged Morgan Stanley Smith Barney [...]
SEC Risk Alert on the New Marketing Rule: Act Now to Prepare
SEC Risk Alert on the New Marketing Rule: Act Now to Prepare What happened? Examiners will conduct “a number of specific national initiatives” that focus on the new Marketing [...]