Leading Compliance Consulting Firms Join BasisCode Advisory Council

5 Leading Compliance Consulting Firms Join BasisCode Advisory Council as charter members

ATLANTA, January 3, 2017 – BasisCode Compliance LLC (www.basiscode.com), a leading provider of regulatory compliance software solutions, has formed an advisory council of leading compliance consulting firms to provide industry input in the continuing development of its award-winning compliance software platform.

The BasisCode Advisory Council consists of four prominent compliance consulting firms – Alaric Compliance Services, Cipperman Compliance Services, Hardin Compliance Consulting, and SEC Compliance Consultants – as well as a leading cyber security specialist – BW Cyber Services. The addition of cyber security expertise to the council signals the growing importance of incorporating cyber security into next generation solutions.

The advisory council will provide independent guidance and industry insights that reflect ongoing changes in the regulatory environment and the members’ client feedback. The council’s input is designed to ensure the Compliance Consultant Manager continues to serve the evolving needs of industry consultants and their clients allowing them to focus on their core offerings.

“Simply put, the BasisCode Advisory Council will help us better serve our consulting clients and their clients,” said Carlos Guillen, BasisCode Compliance president and CEO.  “By incorporating the group’s expertise into our platform, we hope to ensure that all compliance and regulatory consultants have the tools they need to do their job more effectively.”

“We bring to the Council our unique position as a longstanding CCO outsourcing leader whose consultants have accumulated decades of hands-on experience and insight,” said Alaric Compliance Services CEO Guy Talarico.  “Complementing our expertise with time-tested technology is ultimately a win for our clients, who can reduce their reliance on manual processes without us having to build capabilities from scratch.”

“In the end, it’s all about making it easier for the industry to manage an effective compliance program,” said Todd Cipperman, Cipperman Compliance Services. “By participating in the BasisCode Advisory Council, we can share best practices and experiences that will ensure that our clients are prepared to handle changing regulatory challenges.”

“By reducing the use of spreadsheets, email, paper and partial solutions, our clients know that we are providing our services in the most efficient, secure, and cost-effective manner,” said Jaqueline M. Hummel, Hardin Compliance Consulting. “The goal is to determine what our clients need and applying modern technology to provide an optimal solution to managing compliance programs. Working with a cyber-security expert will help us address one of the highest – and least understood – risks facing the industry.”

“While technology itself will never replace the expertise and judgement provided by a compliance consultant, technology is absolutely required in order to provide an effective and scalable compliance offering to clients” said John Lukan, of SEC Compliance Consultants, Inc.  “While we explored building our own proprietary technology, we realized that an enterprise solution requires specific expertise that is difficult and expensive to create and maintain, especially in light of the ongoing business continuity and security requirements. After extensive research, we found BasisCode offered the flexibility and enhanced functionality we were seeking.  We are excited to be part of this new advisory group and able to contribute to its future development.”

Michael Brice, founder and CEO of BW Cyber Services said, “By participating in the BasisCode Advisory Council, we can share cyber best practices and industry experiences that will ensure that clients are best prepared to handle changing regulatory challenges in a pragmatic manner that also provide real-world, operational benefits.”

Initial members of the forum will serve 18 to 24 months.

About BasisCode

BasisCode Compliance LLC (www.basiscode.com), headquartered in Atlanta and founded in 2011, is a leading provider of regulatory compliance software solutions which help manage the risk lifecycle from identification to resolution. From core compliance to personal trading and insider trading, each BasisCode software solution is available as a stand-alone product or offered as part of an integrated package.  The company’s hallmark, audit-ready capability is available in all BasisCode solutions and helps firms maintain a culture of compliance.


About Alaric Compliance Services

With more than 275 years of cumulative financial services experience, we have completed more than 100 exams as CCOs, and 500+ reviews and exams as regulators and advisors.  Our seasoned consultants bring a fresh perspective, time-tested technologies and an unsurpassed wealth of CCO experience to help clients anticipate and mitigate a range of regulatory, compliance and cyber-security risks.  With offices in New York and Boston and a diversified client base spanning start-ups to mature businesses with more than $160 billion in assets under management, we have been meeting our clients’ compliance needs since 2004.  For more information, visit www.alariccompliance.com.

About Cipperman Compliance Services

CCS helps registered funds and money managers create a culture of compliance.  CCS leverages the experience of a multi-disciplinary team and takes full accountability for its advice and services. For more information, visit www.cipperman.com.

About Hardin Compliance

Hardin Compliance Consulting is a full-service compliance consulting firm, offering expert regulatory compliance services and solutions to investment advisers, broker-dealers, private funds and investment companies. HCC has the relevant experience to help clients build and maintain quality personalized compliance programs based on strong processes and a culture of compliance. For more information about Hardin Compliance, visit www.hardincompliance.com.

About SEC Compliance Consultants

Since 2003, our team has been providing expert compliance consulting services to the financial services industry.  With broad experiences and skill-sets, our consultants quickly gain a deep understanding of a client’s business, workflows, and control environment, which allows us to help clients manage and mitigate compliance risk and conflicts of interest.   Our client base includes some of the most respected names in the financial services industry and ranges from large international firms to small firms with only a few key people. Our satisfied clients include advisers, institutional investors, directors, private fund advisers, investment companies, and broker-dealers. Our service offering includes compliance consulting, mock regulatory exams, expert witness services and selective, outsourced CCO services. For more information, visit www.seccc.com.

About BW Cyber Services

At BW Cyber Services, our goal is to help our clients quickly become cyber compliant, cyber knowledgeable, and cyber protected.  In this technologically complex world, criminals, nation states, “hacktivists”, and even tech savvy adolescents are continuously searching for weaknesses or vulnerabilities that will enable them to prey upon your business.  To help mitigate these risks of attack and address your cyber compliance needs, BW Cyber Services provides turn-key cyber audit and cyber regulatory compliance services tailored to meet both the compliance and real-world security needs of our clients – which include NFA and SEC registrants, as well as family offices.  Our consultants are not only cyber experts – they also possess decades of hands-on financial industry expertise.  It is this expertise that allows us to provide reasonably priced, pragmatic solutions that will benefit your business well beyond technology implementation or administrative compliance. For more information, visit www.bwcyberservices.com.