Gain confidence in your compliance program by partnering with the experts.
We provide backend support services to investment advisers, broker-dealers and other financial institutions through five distinct practice areas:
Compliance Administration
Full-service and ongoing compliance administration.
Cyber Solutions
Comprehensive data and cyber security solutions, including data security testing, vendor due diligence and more.
Investment Administration
Participant record keeping, investor reporting, fund accounting and more.
Performance Services
Outsourced composite maintenance solutions.
Regulatory Filings
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.
Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
SEC Revises Marketing FAQ to Address Private Fund Net Performance
SEC Revises Marketing FAQ to Address Private Fund Net Performance What happened? On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. [...]
NSCP Currents: Beatles, Buy-In, and Business Strategies: Simplifying the Process of Earning and Maintaining Employee Buy-In for Organizational Initiatives
NSCP Currents: Beatles, Buy-In, and Business Strategies: Simplifying the Process of Earning and Maintaining Employee Buy-In for Organizational Initiatives
SEC Risk Alert on Prevention of Identity Theft and Reg S-ID
SEC Risk Alert on Prevention of Identity Theft and Reg S-ID What happened? The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention [...]
Goldman Sachs Fined $4M for Policy Failures of ESG Investments
Goldman Sachs Fined $4M for Policy Failures of ESG Investments What happened? On November 22, 2022, the U.S. Securities and Exchange Commission SEC charged Goldman Sachs Asset Management, LP [...]
NSCP Currents: PTE 2020-02 Retrospective Reviews
PTE 2020-02 Retrospective Reviews
The SEC’s New Proxy Rule: What You Need to Know
The SEC's New Proxy Rule: What You Need to Know What happened? On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments that will [...]