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We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
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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
President and CEO
Ellen Harvin
Executive Vice President
John Marriott
Executive Vice President
An Expert Team Makes All The Difference.
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Our industry is consistently changing and we want to keep you up to date with how it affects you.
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 [...]
SEC Proposes to Enhance Disclosures About ESG Investment Practices
SEC Proposes to Enhance Disclosures About ESG Investment Practices What happened? On May 25th, the Securities and Exchange Commission (SEC) proposed amendments to rules and reporting forms to promote consistent, [...]
The New Marketing Rule Part 5 – Challenges for Performance Advertising
The New Marketing Rule Part 5 - Challenges for Performance Advertising What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and [...]
SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG
SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG What happened? On May 23rd, the Securities and Exchange Commission (SEC) charged BNY Mellon Investment Adviser, Inc. for [...]
The New Marketing Rule Part 4 – Implications for Social Media
The New Marketing Rule Part 4 - Implications for Social Media 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 3 – General Prohibitions
The New Marketing Rule Part 3 - General Prohibitions What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and cash solicitation [...]