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Richard
Jennings Sales Manager
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40 Wall Street
34th Floor
New York
NY
10005
United States
Phone: 212-668-8700
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ACI is a full service compliance consulting firm with 25 years of expertise within the financial industry. Our clients include hedge funds, investment advisers, broker-dealers and banks. ACI develops compliance solutions, which are implemented by our highly specialized team of attorneys, certified public accountants, licensed compliance professionals, and former regulators.
Our compliance outsourcing programs are customized to meet the needs of each client. We manage the complete compliance process, allowing our clients to focus on the development of their businesses. The primary services that we offer our clients include, but are not limited to, registrations, risk assessments, due diligence, best execution, regulator filings, creating and maintaining a code of ethics, and providing well-refined compliance manuals. Our team will provide assistance in ensuring that your firm is fully compliant with FINRA, the SEC, or any other regulatory body that governs your business operations.
In an increasingly regulated financial environment, don’t hedge your bet when it comes to compliance. Contact our business development team to address your compliance needs. |
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Jim
Detmer Director of Business Development
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800 Third Avenue
11th Floor
New York
NY
10012
United States
Phone: 888-243-2448
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Alaric Compliance Services provides independent compliance solutions to investment advisors, registered investment companies, hedge funds, broker-dealers, mutual funds and funds of funds. Since our formation in 2004, Alaric has become the leading provider of Outsourced Chief Compliance Officers with assets under compliance supervision of over 45 billion dollars. Alaric also provides support to in-house CCOs through our comprehensive, oversight and monitoring program and independent compliance consultations and evaluations. The Alaric team is unmatched in the compliance industry, with over 100 years of cumulative compliance expertise. For more information please go to www.Alariccompliance.com. Or, contact Jim Detmer, Director of Business Development at 888-243-2448 or Mail@alariccompliance.com.
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Marshall
Huwe President & CEO
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8500 Shoal Creek Blvd, Bldg 4
STE 225
Austin
TX
78757
United States
Phone: 512-531-3435
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Amicus, Inc.
Amicus is a Latin word meaning "friends."
Founded in 1996, Amicus, Inc. is the leading application service provider of compliance technology solutions to securities broker-dealers and investment advisors. With a specialized focus on compliance process automation and SEC compliant technology solutions, Amicus provides a suite of products designed to streamline, manage and expedite the flow of information between clients, advisors, home office employees, and reps including:
• Amicus® eBlotter Monitor
• Amicus® Email Monitor
• Amicus® Know Your Customer
• Amicus® New Account Monitor
• Amicus® Toolbelt
Over 41,000 registered representatives, compliance professionals, and investment advisors use Amicus® solutions every day. The Amicus® application service provider (ASP) business model delivers exceptional value to our clients by providing access to the latest technologies and compliance rule updates without burdening internal resources and budgets.
Amicus Email Archive 6.0 Plus for Hedge Funds provides an easy-to-use and comprehensive tool for the retention of email and captured instant message communications, as required by SEC regulations, and easy access and review of archived emails throughout the required retention period. Amicus WORM compliant Email Archive 6.0 Plus is available bundled with or without Amicus email hosting, anti-SPAM, virus protection and encryptions services. |
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Bruce
Ackerman Director of Sales, Securities, Investments & Insurance
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NY
NY
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United States
Phone: 917-470-9254
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World-Check provides its global database of heightened-risk individuals and businesses to more than 3,000 institutions in 162 countries, including 47 of the world’s 50 largest banks and hundreds of government agencies. For information on World-Check please visit:
www.world-check.com or call us at +44 (0) 20 7647 8500.
Stay ahead of potential risk, sign up now to World-Check's Intelligence Briefing.
Global World-Check Holdings Limited and its subsidiaries are incorporated in England & Wales, have their registered office addresses at 39 Dover Street, London W1S 4NN and the following registered numbers: Global World-Check Holdings Limited: 6091149, Global Objectives Limited: 4098610, Global World-Check Holdings (Nominee) Limited: 6091083 |
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Erin
Webster Marketing Manager
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323-A Main Street
Lakeville
CT
06039
United States
Phone: (860) 435-0200
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Specialty | |
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Founded in 1983, NRS provides compliance solutions and registration services to hedge funds, investment advisers, broker-dealers, investment companies and insurance companies. Recognized as experts in the compliance industry, NRS offers hedge funds with comprehensive tools backed by individualized consulting services to enable them to meet regulatory requirements assess risks, save money and protect their reputation. With expertise in the investment adviser compliance industry, NRS can provide hedge funds an entire lifecycle of services that not only includes registration, but also assists with all facets of developing a compliance program to prepare your firm for its first regulatory examination and an on-going compliance regimen. Hedge fund advisers depend on experienced NRS consultants to understand their specific issues and appropriately guide them through regulatory exam risk assessments, due diligence reviews, Form D filings and more. NRS also offers a customizable suite of web-enabled compliance tools, ComplianceEssentialsTM for Hedge Funds which includes model policies and procedures, a model code of ethics, model proxy voting procedures and tools to assist you with meeting the privacy notice requirements. From our firm-wide compliance solution, to registration for hedge fund managers, educational opportunities such as compliance conferences and online seminars and customized Consulting Services, NRS stands ready to provide the solutions and expertise hedge funds need for complaince. Visit www.nrs-inc.com/HedgeFund for more information |
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Specialty |
Six years of Email Archiving & Compliance Excellence.
Global Relay offers Hedge Funds an affordable, turn-key email & IM archiving solution to meet SEC regulatory, audit and legal requirements.
Visit our Website for more Information!
[Email]
[View Website]
Compliance - Europe, US & North America
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Specialty |
MMS Regulatory Solutions is recognised as a leading compliance and accounting consultancy in the United Kingdom. We offer a complete compliance service including:
- Assisting with the FSA authorisation and SEC registration process
- Compliance monitoring
- Drafting compliance manuals and procedures
- Independent compliance reviews
- Operational risk reviews and ICAAPs
- Compliance training
- Assisting with prudential regulations, reviewing or preparing financial returns and satisfying the Capital Requirements Directive Pillar 1, 2 and 3 Process
- Acting as both an outsourced compliance department and an outsourced accounting department.
We also provide assistance with ad hoc projects and can offer ongoing support and advice.
We pride ourselves on maintaining strong client relationships by ensuring our availability to provide a flexible, practical and proactive support.
[Email]
[View Website]
Compliance - Europe, Offshore, US & North America
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Elkins/McSherry, LLC - James Bryson |
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Ph: (917)790-4606
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L & S Consulting Group, Inc. - Brandon M. Lee |
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Ph: 516-482-2860
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PA Compliance - Richard Palingo |
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Ph: 781-676-5964
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The HedgeCo.Net service provider directory is an open directory. Each service provider has represented to HedgeCo.Net that their company provides the services described in the advertisement that they have submitted to HedgeCo.Net. HedgeCo.Net does not independently verify that such information presented is correct, complete or not misleading, and further, does not make any guarantee or endorse any of the services provided by members of the HedgeCo.Net service provider directory.
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