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
GIPS® compliance consulting and maintenance and 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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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.
NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million
Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million What happened? On Sept. 20, 2022, the Securities and Exchange Commission (“SEC”) charged Morgan Stanley Smith Barney [...]
SEC Risk Alert on the New Marketing Rule: Act Now to Prepare
SEC Risk Alert on the New Marketing Rule: Act Now to Prepare What happened? Examiners will conduct “a number of specific national initiatives” that focus on the new Marketing [...]
SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations
SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations What happened? On September 9, 2022, the Security and Exchange Commission (“SEC”) charged several investment advisers who [...]
The SEC’s Strategic Plan for 2022-2026 Fiscal Years
The SEC’s Strategic Plan for 2022-2026 Fiscal Years What happened? On August 24, 2022, the U.S. Securities and Exchange Commission (SEC) announced its plans for the 2022-2026 Fiscal Years [...]
SEC Fines Adviser in Wrap Fee Program Dispute
SEC Fines Adviser in Wrap Fee Program Dispute What happened? On August 26, 2022, Kovack Advisors, Inc. (“KAI”) settled with the U.S. Securities and Exchange Commission (“SEC”) for almost [...]