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Gain confidence in your compliance program by partnering with the experts.

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We provide backend support services to investment advisers, broker-dealers and other financial institutions through five distinct practice areas:

Compliance Administration

Compliance Administration

Full-service and ongoing compliance administration.

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Cyber Solutions

Cyber Solutions

Comprehensive data and cyber security solutions, including data security testing, vendor due diligence and more.

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Investment Administration

Investment Administration

Participant record keeping, investor reporting, fund accounting and more.

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Performance Services

Performance Services

GIPS® compliance consulting and maintenance and outsourced composite maintenance solutions.

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FilePoint Regulatory Filing Services

Regulatory Filings

Full-service financial printing for all your Section 16 filings, and more.

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A Truly Full-Service Partner

We prioritize relationship and high-quality, high-touch service to get results.

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Assets Under Compliance

Administration

An Expert Team Makes All The Difference.

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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.

Proposed Amendments to Form PF

By | Aug 15th, 2022|

Proposed Amendments to Form PF What happened? Since its adoption in 2011, Form PF has been used by private fund advisers to describe required information regarding their fund’s operations. [...]

SEC Examination Requests Regarding E-signatures

By | Aug 1st, 2022|

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 [...]

More Flash Reports