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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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Administration
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.
ESG Disclosure and Materiality Reminders for RIAs
ESG Disclosure and Materiality Reminders for RIAs WHAT HAPPENED? Climate and environmental, social, and governance (ESG) topics continue to gain prevalence in capital markets, especially when it comes to [...]
The SEC’s Bitcoin Futures Warning
The SEC’s Bitcoin Futures Warning WHAT HAPPENED? Last week, the SEC released a statement pertaining to funds investing in Bitcoin futures. Market participants have pushed for cryptocurrency ETFs in [...]
Adviser Facing Jury Trial for Securities Laws Violations
Adviser Facing Jury Trial for Securities Laws Violations WHAT HAPPENED? An exempt reporting adviser (“ERA”) and related private fund were recently investigated by the SEC for a variety of [...]
SEC Director of Enforcement Resigns After One Week – What Now?
SEC Director of Enforcement Resigns After One Week – What Now? WHAT HAPPENED? Last month, the SEC announced Chairman Gary Gensler appointed Alex Oh to be Director of the [...]
SPACs: What the SEC Wants You to Know
SPACs: What the SEC Wants You to Know WHAT HAPPENED? Special-purpose acquisition companies, or SPACs, have recently surged in popularity and the SEC is paying attention. These vehicles are [...]
No Need to Report Certain Home Offices on Form ADV
No Need to Report Certain Home Offices on Form ADV WHAT HAPPENED? The U.S. Securities and Exchange Commission released an FAQ statement clarifying there is no need to report [...]