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We help you maintain a meaningful and fully documented compliance program.
What We Do
We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
Dedicated Compliance Team
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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Leadership Team
Frank Watson
President and CEO
Ellen Harvin
Executive Vice President
John Marriott
Executive Vice President
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.
Large Trader Compliance Risks For Investment Advisers and Broker-Dealers
Large Trader Compliance Risks For Investment Advisers and Broker-Dealers WHAT HAPPENED? Recently, the Division of Enforcement of the U.S. Securities and Exchange Commission released a list of common compliance [...]
SEC Restores Investigative Powers for Senior Enforcement Staff
SEC Restores Investigative Powers for Senior Enforcement Staff WHAT HAPPENED? On Feb. 9, 2021, the Acting Chair of the U.S. Securities and Exchange Commission, Allison Herren Lee, announced in [...]
NSCP Currents: Preparing for the LIBOR Transition and the Division’s LIBOR Exam
NSCP Currents: Preparing for the LIBOR Transition and the Division's LIBOR Exam
Regulatory Freeze Could Bring Changes to New SEC Marketing Rule
Regulatory Freeze Could Bring Changes to New SEC Marketing Rule WHAT HAPPENED? On Jan. 20, 2021, President Biden’s first day in office, the White House issued a memorandum indicating [...]
Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers
Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers WHAT HAPPENED? President Biden recently named Gary Gensler, the Obama-era head of the Commodity Futures Trading [...]
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 [...]