Renaissance Regulatory Services, Inc. provides compliance consulting services to investment advisers, hedge funds, broker-dealers and investment companies under the leadership of and a highly experienced and capable staff. The RRS staff consists of former senior level SEC, State and NASD/FINRA regulators and compliance professionals who specialize in compliance examinations, supervisory procedures, registration services, financial bookkeeping services and compliance support services. RRS provides the experience and insight to meet all your registration and compliance needs. RRS was founded on the premise that the financial industry is constantly changing. New products and services, changing regulations and globalization create unique issues and challenges in compliance and operations for financial service firms of all sizes, locations, and business models. In order to “Manage Through Change”, firms must have the ability to quickly recognize and react to compliance regulatory and market trends that may arise. RRS can assist firms in this mission by providing customized, programmed compliance solutions. Our staff can help with the design, implementation, monitoring and reporting of your firm’s overall compliance program. RRS performs the broadest range of consultative services working closely with client organizations to help them realize tailored and optimal solutions that work. At RRS, compliance is central to virtually every part of our operation. We understand the appropriate levels of oversight on the financial services industry today…and tomorrow. The stakes are high and mitigating risk is at the forefront of the industry’s pursuit of best practices. In such an environment, the RRS team can make a difference. Email Lauren Epstein for more information at LaurenEpstein@rrscompliance.com
Alaric Compliance Services, LLC provides independent compliance solutions to registered and unregistered investment advisors, registered investment companies, private equity firms, business development companies, hedge funds and broker-dealers with AUMs ranging from $150 million to $110 billion. Our services include: Independent Chief Compliance Officers (CCOs) Monitoring and Testing Services SEC Mock Examinations Compliance Consulting Services SEC Registration Services Since our formation in 2004, Alaric has become a leading provider of independent chief compliance officers with assets under compliance supervision of over $200 billion. Alaric also provides support to in-house CCOs through our comprehensive monitoring and testing program and independent compliance consultations and evaluations, including SEC mock examinations. Headquartered in New York City, we have a regional office in Chicago and staff based in Washington D.C. and Los Angeles.
ALaS serves as a trusted advisor to hedge funds, asset managers, banks, broker-dealers and fund administrators.The Compliance and Regulatory Practice at ALaS, partners with our clients to ensure that they comply with all regulatory requirements with a strong and efficient culture of compliance. We provide services that support compliance with SEC, FINRA and CFTC in the US and offshore jurisdictions inclusive of the Caymans, BVI, Bermuda, and the European Union. Service offerings include: •Provide turn-key solutions inclusive of the launch, registration and ongoing compliance support for SEC Registered Investment Advisors, UCITS III Funds, NFA CTA/CPO, IB’s and FCMs and FINRA registered broker-dealers. •SEC 206(4) -7 compliant SEC investment advisory compliance programs and testing, AML audits, annual compliance training, and regulatory filings inclusive of Form ADV. •Annual and independent review of compliance and supervisory procedures. •Assistance with Dodd-Frank and European Union Alternative Investment Funds Directive analysis and implementation as the industry makes its way down the path to harmonization ALaS is a leading provider of consulting, technology, and transformation services dedicated solely to the financial services industry. Our clients call us when they need help with strategic, operational or organizational challenges. Our professionals provide first-hand industry knowledge to offer our clients expertise to increase revenue, manage risk and regulatory change, improve operational performance, reduce costs and enhance control. ALaS delivers services and solutions across six practice areas: Compliance and Regulatory Finance Performance Improvement Operations Performance Improvement Sales, Trading and Product Control Strategic Technology Services Strategy and Business Development For additional information, please contact Stephen Lipof at...
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
Smarsh® provides hosted solutions for archiving electronic communications, including email, IM and social media platforms such as Facebook, LinkedIn and Twitter. Founded in 2001, Smarsh helps over 10,000 organizations manage and enforce flexible, secure and cost-effective compliance and records retention strategies and mitigate risk. Smarsh also offers integrated modules within its email archiving suite for classification and policy management, data-leak prevention and encryption. The SaaS (software as a service) delivery model enables clients to eliminate IT infrastructure costs and minimize operating burden, while benefiting from Smarsh expertise in hosting large volumes of mission-critical client data. Smarsh email management solutions are designed to help organizations meet the myriad challenges created by the proliferation of email and electronic messages. The integrated platform enables users to:• Meet SEC, FINRA and other emerging regulatory compliance obligations.• Promote investor confidence with a demonstrative commitment to transparent operation, regulatory compliance and data security.• Be prepared for E-discovery. Take a proactive approach to managing electronic data and save your organization time and money in litigation and early-case assessment. • Enforce governance policies for organizational use of email, social media, instant messaging and other electronic communication platforms.• Manage email server and mailbox growth.• Offload the costs and operation burden of managing email on-premise and create IT efficiencies. Smarsh has built its reputation by handling the sophisticated archiving and compliance needs of the financial services industry. Customizable solutions fit the needs, budgets and technological infrastructure of any business and are matched with unrivaled customer support and service.
Damon Zappacosta, Adviser Compliance Associates
Steve Lipof, ALaS Consulting LLC
Ron Weekes, Managing Director
Phone: +44 (0)20 7399 4980
Phone: +44 (0)20 7399 4980
Paul King, Comprehensive Securities Compliance Solutions, Inc
James Bryson, Managing Director