Introducing Consultant's Corner
Join us throughout our Consultant’s Corner interview series as we speak with some of the industry’s leading Consultants to offer high impact tips and practical advice on many of the key issues we’re finding compliance teams struggling to navigate.
At BasisCode, our sole priority is to provide outstanding service to our clients. To help accomplish this, we partner with industry leading experts who value technology as much as you do. Explore resources and find your perfect match within our Consultant Marketplace.
A team of seasoned compliance consultants who bring a fresh perspective, time-tested technologies and a wealth of hands-on compliance experience to help our financial services clients – from start-ups to mature firms – anticipate and mitigate current and potential risks.
Visit Alaric Compliance Services
Barge Consulting is a leader in regulatory compliance consulting for investment advisers. Our company offers a variety of SEC consulting services under the Investment Advisers Act of 1940.
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Beacon Compliance Consulting was founded in 2009 by Kyle Bubeck. The firm provides Chief Compliance Officer services to registered investment advisors, stand-alone mutual funds, and mutual fund series trusts. In addition, Beacon provides compliance consulting services, including initial advisor registration and set-up, document creation, mock auditing, and other compliance consulting services. Beacon also performs financial bookkeeping services for several advisory firms.
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Cipperman provides managed compliance services to registered funds, money managers, private fund sponsors, broker-dealers, and CPO/CTAs. CCS develops, implements, and operates complete and customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multidisciplinary team and takes full accountability for its advice and services.
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CORE-CCO, LLC partners with leading and emerging private fund firms in Texas. We strive to provide quality outsourced compliance resources and expertise, designed to be an integral part of our clients’ daily operations, resulting in a stronger, more focused and competitive private fund firm.
We work with a select group of private fund firms to provide a comprehensive solution that is proactive and tailored to each firm’s unique needs.
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Core Compliance specializes in compliance and risk management for the financial industry. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. Core Compliance understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of your firm.
Focus 1 Associates LLC specializes in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
Our RIA compliance services are built on a quality control process that affords complete confidence in your compliance program.
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Regulatory Compliance Consulting for Investment Advisers, Private Funds and Broker-Dealers.When it comes to business, you may listen to a consultant, but you trust your partners. At Hardin Compliance, our SEC and FINRA compliance experts form long-lasting partnerships for success.
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Originally founded in 1984, MGL Consulting, LLC (MGL) is nationally recognized in the financial industry as a leading provider of regulatory compliance consulting services to broker-dealers, investment advisers, and commodities firms. Our team of experienced professionals have more than 400 years of collective experience encompassing compliance, regulatory, accounting, and legal disciplines. Our firm’s broad industry experience and depth of knowledge provide welcome, cost-effective best in class solutions to many of the compliance and staffing challenges facing firms in today’s changing regulatory and business environment.
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PINE Advisor Solutions provides institutional-quality outsourced Chief Financial Officer (CFO), regulatory compliance, fund/advisor launch, and operations support services to private funds, mutual funds, exempt and registered investment advisers. PINE’s mission is to serve as an invaluable extension of your firm by providing high-quality outsourced solutions. PINE will serve as the compliance, financial and operational experts allowing you to focus on managing your portfolios and growing your business.
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Helping Organizations Bridge The Compliance Knowledge Gap.Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
Visit SEC3 Compliance Consultants
Windermere Insurance Group is a full-service insurance brokerage headquartered in Charlotte, NC, with a dedicated focus on serving the Financial Institution market, including RIAs, Fund Managers, Broker Dealers, Trust Companies, and Family Offices. Specialized in professional and management liability coverages (E&O, D&O, Cyber, etc.), as well as standard commercial coverages (General Liability, Workers’ Comp, etc.), and Employee Benefits.
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Cascade Investment Compliance & Verification helps RIAs and other investment managers and asset owners achieve and maintain compliance with the Global Investment Performance Standards (GIPS®). Our other services include performance reviews, investment compliance for asset owners, and performance measurement consulting. Our team has decades of experience, and we are passionate about providing exceptional client service, promoting industry best practices, and offering expert guidance and education to our clients.