Hedge Fund Compliance
Owned by the Reed Elsevier, National Regulatory Service (NRS) is part of Accuity, the global standard for payment efficiency and compliance solutions. NRS is the US leader in compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. NRS has the practical expertise, proven capability and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions through three interrelated offerings – comprehensive education, best-in-class technology and expert consulting services – enabling our clients to meet their regulatory requirement and minimize risk.
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.
Graydon Compliance Solutions lifts the burden of regulatory compliance so that you can focus on growing your business. GCS’s services include an Outsourced Chief Compliance Officer (CCO) solution, a Compliance Program Administrative option, and individual project assistance for one-time or recurring projects that arise.
Smarsh delivers cloud-based solutions for archiving an expanding list of today's digital communication mediums – including email, instant messaging, public and enterprise social media, mobile messaging, and the Web. Founded in 2001, Smarsh is the trusted archiving and compliance provider for a growing base of over 20,000 companies that rely on it to help meet regulatory compliance, e-discovery and record retention requirements. As a provider that understands the needs of hedge funds and private equity firms, Smarsh gives you the tools to implement and enforce effective electronic recordkeeping and data protection policies for hedge fund compliance and private equity compliance with SEC books and records obligations. The hosted email and message archiving platform makes it easy to: - Create a culture of compliance. Promote investor confidence with a demonstrative commitment to transparent operation, regulatory compliance and data security. - Benefit from the best practices framework and hands-on support provided to thousands of new firms registering with the SEC or encountering compliance mandates for the first time. - Locate and produce electronic communications quickly, and be prepared for SEC examinations or requests with on-demand data production. - Automatically preserve all electronic communications and store securely on tamper-proof media for their designated retention period(s). - Be prepared for E-discovery. Take a proactive approach to managing your electronic data and save your organization time and money in litigation and internal investigations. - Customize your firm’s supervision policies without technology limitations. Configure company-approved keyword lists. Automate policy enforcement and streamline compliance review procedures with systemized search criteria.
Damon Zappacosta, Adviser Compliance Associates
Melissa Talarico, Director
gary mair, Partner
Richard Levin, Counsel
Benjamin Ellison, Senior Associate: compliance
Phone: (212) 786 7486
Phone: (212) 786 7486
John Vapor, Owner