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We provide compliance support services to investment advisers,
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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Frank Watson
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Ellen Harvin
Executive Vice President
John Marriott
Executive Vice President
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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.
Investments in Certain Chinese Companies Restricted Under New Executive Order
Investments in Certain Chinese Companies Restricted Under New Executive Order WHAT HAPPENED? On Jan. 6, 2021, the U.S. Securities and Exchange Commission issued a Risk Alert in response to [...]
The DOL’s New Fiduciary Rule Exemption: What You Should Know
The DOL’s New Fiduciary Rule Exemption: What You Should Know WHAT HAPPENED? Recently, the U.S. Department of Labor (DOL) finalized its new fiduciary rule exemption, which will allow advisers [...]
Scam Risks in 2021 and How to Avoid Them
Scam Risks in 2021 and How to Avoid Them Cybercriminals are becoming increasingly sophisticated and continue to find new ways to compromise both individuals’ and firms’ data security. Phishing attacks [...]
The SEC’s New Marketing Rule: Here’s What You Should Know Now
The SEC’s New Marketing Rule: Here’s What You Should Know Now WHAT HAPPENED? On Dec. 22, 2020, the U.S. Securities and Exchange Commission unanimously voted to pass proposed amendments to [...]
2020 Compliance Round Up: The Top 10 Regulatory Headlines for Investment Advisers This Year
2020 Compliance Round-Up: The Top 10 Regulatory Headlines for Investment Advisers This Year WHAT HAPPENED? Amid the unique changes and challenges 2020 has brought, there has been plenty of [...]
Firm Fined for Violating Custody Rule and Miscalculating Performance Fees
Firm Fined for Violating Custody Rule and Miscalculating Performance Fees WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission charged a private fund adviser with violating sections of the [...]