How to Best Work with Compliance Consultants

Overview

The following is an edited transcript of a recent NSCP-hosted webinar on how to best work with compliance consultants. Meghan Flanagan, deputy executive director for the National Society of Compliance Professionals, introduced the discussion. Participants were Carlos Guillen, CEO, BasisCode Compliance, who served as moderator; Janaya Moscony, president, SEC3; James Spinelli, COO, Great Valley Advisor Group; Jon Wowak, COO, Cipperman Compliance Services; and Jason Ewasko, CCO, Cipperman Compliance Services.

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Focus 1 Associates Implements BasisCode Compliance Software Platform

MEDFORD, Ore. and ATLANTA, February 5, 2018 –Focus 1 Associates LLC (www.focus1associates.com), specializing in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under the Investment Advisers Act, is implementing BasisCode Compliance LLC’s software platform to improve compliance management for its U.S. and non-U.S. client base. (more…)