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| Vendors > Compliance | |||||
| Compliance
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Advanced Regulatory
Compliance, Inc.
415 N. Camden Drive, Ste. 121 Beverly Hills, CA 90210 Phone: (310) 275-7300 Email: pburns@advreg.com Website: www.advreg.com Advanced Regulatory Compliance, Inc. is a dynamic new organization formed to help investment advisory firms, broker-dealers and their representatives meet ever-changing compliance and regulatory obligations. Our practice is national in scope and able to meet the compliance and regulatory needs of clients nationwide. We offer personalized and tailored compliance/ regulatory advice to address each firms or representative's unique way of doing business. Our consultants have years of experience working with independently registered investment advisers, independent broker-dealers and their representatives. Top Adviser Compliance Associates 1224 M Street, NW, Suite 101 Washington, DC 20005 Phone: (202) 628-8300 Email: info@advisercompliance.com Website: www.advisercompliance.com Adviser Compliance Associates, LLC, a full-service compliance consulting firm, offers a diversity of general and specialized compliance services. Specializing in compliance matters involving investment advisers, hedge funds, and investment companies, ACA uses a team approach to respond to your needs in a timely and cost effective manner. You will have the opportunity to design a compliance structure that will be managed by a team of experienced compliance professionals. We realize the importance of the responsibility we have to our clients. It is our objective to sensitively and confidentially manage your compliance with the highest level of service standards. Top Advisor Products Inc. 1025 Old Country Road, Suite 223 Westbury, NY 11590 Phone: (888) 274-5755 Website: www.advisorproducts.com Advisor Products is a leading financial services client communications and marketing company, serving more than 1,800 independent financial advisors. If you want a great website, client newsletter, or brochure, you’ll love us. We can write your marketing copy, design your logo, print your stationery and give you advice and ideas. You’ll find our technology and personal service superb because we don’t settle for less. Top AdvisorVault 842 Broadview Ave. Toronto, Ontario M4K 2R1 Phone: (866) 925-1941 Email: info@advisorvault.org Website: www.advisorvault.org AdvisorVault is the only remote backup provider specifically designed to help small broker-dealer firms achieve today’s stringent data compliance requirements. With our designated third party status (D3P) we help small broker-dealer firms achieve all the required data compliance rules defined in 17a-3, 17a-4, 3510 and 3010. Our fully managed solution includes all the hardware and software and instantly plugs into the office network to remotely protect emails and all documents relating to Books and Records. Remote, home and travelling employees are instantly added to the solution at no addition cost. The turn-key product is priced to fit the budget of small firms and provides remote backup, long-term archiving and disaster recovery in accordance with all current SEC and FINRA rules. Experience total data compliance – Out of the Box with AdvisorVault. Top BackOffice Alliance LLC 227 Deerwood Bend Charlottesville, VA 22911 Phone: (877) 306-9262 Email: sales@backofficealliance.com Website: www.backofficealliance.com Contact: Susan L. Silva, Managing Director and Business Development BackOffice Alliance LLC is an innovative regulatory consulting firm specializing in SEC and FINRA compliance requirements for investment advisers, broker-dealers, investment companies, and hedge funds. We provide a cost effective “needs-based” compliance and operations solution through our unique automated process to enable you to utilize your capital and resources where it is needed – “growing your business”. Whether you are a start-up or a seasoned veteran who understands that compliance risks can jeopardize your entire firm, our experienced compliance staff is able and ready to protect you. Collectively we represent over 100 years of regulatory, operational and technical experience. Top Erado Message Control Solutions 321 Burnett Ave.S. Suite 100 Renton, WA. 98057 Phone: (866) 673-7236 Email: sales@erado.com Website: www.erado.com Erado is a leading provider of secure, hosted email archiving, message security, disaster recovery, encryption, and compliance solutions. Founded in 1994, the companies solutions are trusted by banks, broker/dealers, financial advisors, utilities, healthcare, and manufacturing firms worldwide Since its inception Erado has had a perfect regulatory audit track record. Erado’s email archiving services are used by non-regulated companies as a proactive solution for e-discovery. Erado’s SecureMail hosted email encryption services provide a software and hardware free solution to complying with state and federal email privacy laws. Erado’s email campaign management service provides an easy to use, web enabled, feature rich email marketing application that works with any email provider, archiving, and compliance solution on the market today. Erado’s email campaign manger allows you to create and manage newsletters, press releases, recommendations, and more.Building and managing one list or multiple lists is quick and easy. Customized newsletters can be created with your software or with our easy to use online html editor. Top Financial Advisors Legal Association 7469 West Lake Mead Blvd., Suite 170 Las Vegas, Nevada 89128 Phone: (800) 261-0633 Email: rmills@falegal.com Website: www.falegal.com We are the leader in litigation prevention and defense for the individual financial professional. As potential targets of litigation, our members join because they understand the benefits that only safety in numbers can provide. We have successfully built this organization based on need, one member at time. As needs have expanded, so have our programs. By promoting dialogue between the members and the F.A. Legal attorneys, potential claims are being dismissed before becoming an emotional, legal and financial nightmare. To do this we have developed defense, educational and communication tools to effectively empower our members. Top MarketCounsel 61 West Palisade Avenue Englewood, NJ 07631 Phone: (201) 705-1200 Email: pnc@marketcounsel.com Website: www.marketcounsel.com Contact: Frank Pizzichillo, Director of Business Development MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors. Its comprehensive service offering delivers sound, yet business-savvy, regulatory compliance solutions. The firm pairs best-of-class compliance professionals with state-of-the-art technology to meet, anticipate, and exceed the exacting needs of its clients. From the startup of an investment advisor through its RIA Incubator program to the outsourced compliance department capabilities of the RIA Institute, MarketCounsel’s service platform consistently delivers on the promise of extraordinary service and trusted counsel. Top MailBanc 61 West Palisade Avenue Englewood, NJ 07631 Phone: (201) 705-1200 Email: sales@mailbanc.com Website: www.mailbanc.com Contact: Marc Cohen, Executive Vice President, Service MailBanc provides a robust, yet easy to manage, suite of enterprise-class messaging solutions designed and scaled specifically for small financial institutions. Our suite of hosted, secure technology tools filter, capture, retain and monitor electronic messages to comply with your firm’s regulatory obligations. MailBanc’s Message Defense service stops viruses and SPAM before they reach your corporate network, allowing only safe and legitimate messages through. Message Archiving captures and retains messages to comply with the firm’s regulatory obligations. MailBanc offers unlimited storage on servers housed in a world-class, secure data center. To satisfy supervisory concerns, the Message Surveillance tool implements the policies applicable to a firm and allows for the monitoring of employee usage and the enforcement of e-mail compliance policies. As a division of MarketCounsel, the nation’s leading business and regulatory compliance consulting firm, MailBanc has had the luxury of utilizing MarketCounsel’s expertise in regulatory compliance to ensure that all MailBanc solutions remain compliant with SEC and FINRA regulations. Top metaLogic 5025 Orbitor Drive Building 3, Suite 300 Mississauga, Ontario L4W 4Y5 Phone: (905) 629-7775 Email: sales@metalogic-inc.com Website: www.metalogic-inc.com metaLogic, established in 1997, is focused on collaboration, content management, and compliance solutions that leverage IBM middleware and open source products. Our email management and compliance products extend Lotus Notes to provide end-user archiving, compliance archiving, real-time email policy enforcement, discovery, and email content rationalization. Enforcer, our flagship archiving solution, is built for Lotus Notes but integrates open source components (Postgres, Jetty, Lucene, and SOLR). We also have a java-based forms integration product (Formlet Factory) that makes it easy to connect electronic forms to existing back-end databases. Our professional services team has expertise with the Lotus Notes Domino family of products, Lotus Forms, Websphere Portal, Liferay Portal, Tomcat, Jetty, Postgres, MySQL, Lucene, and many open source solutions. The team has extensive experience managing and delivering large-scale, complex development and migration projects. In 2001, metaLogic was named a Mississauga Business of the Year. Mississauga, the sixth largest city in Canada, is located just outside Toronto. Top ProTracker Advantage ProTracker Software, Inc. 6 Merrill Drive Hampton, NH 03842 Phone: (603) 926-8085 Email: sales@protracker.com Website: www.protracker.com Our flagship product is ProTracker Advantage (PTA), a Client-Centric Contact Management System specifically designed for financial advisors. Setting the standard for comprehensive client relationship management software, ProTracker Advantage manages clients, prospects, contacts and employees for busy professional offices. The system organizes client data by tracking client goals and objectives, assets and liabilities, net worth, estate planning issues, insurance policies, and retirement contributions. It also manages and coordinates office workflow, facilitates regulatory compliance issues and minimizes the administrative time spent on mailing labels, newsletters, holiday cards and many other tasks. ProTracker Advantage exports data to personal digital assistants and imports portfolio values and money balances from most portfolio management programs. The RMD Wizards assists in calculating Required Minimum Distributions. Top RIA Compliance Consultants 1905 Harney St., Ste. 530 Omaha, NE 68102 Phone: (877) 345-4034 Email: bhill@ria-compliance-consultants.com Website: www.ria-compliance-consultants.com RIA Compliance Consultants provides registration and renewal services, mock exams, document reviews, compliance program assessments, and more. RCC collaborates with investment advisors to identify regulatory and risk management challenges. We then work with them to build and implement practical solutions that protect their clients while meeting their regulatory responsibilities. Top Smarsh, Inc. 921 SW Washington Street. Suite 540 Portland, OR 97205 Phone: (866) 762-7741 Email: info@smarsh.com Website: www.smarsh.com Smarsh® is a leading managed service provider of innovative, secure, and reliable email-archiving solutions for message compliance and records retention, proactive litigation readiness and mail server data management. Founded in 2001, the company has built its trusted reputation by handling the sophisticated archiving needs of the financial services industry, and has produced a flawless regulatory audit track record to show for it. Smarsh’s email archiving software-as-a-service (SaaS) is also implemented as a proactive complement to e-discovery, offering an efficient and cost-effective alternative to the traditional reactive process, and as a robust email management tool. Smarsh offers a full-service suite of products and services. The proprietary automated email review agent, the Virtual Compliance Officer®, sets the standard for efficiency in email supervision. The VCO features a data leak prevention module that integrates with the email archive and prevents important corporate knowledge and communication from leaving (or entering) the organization. Top Spam Soap, Inc. 3193 Redhill Ave Costa Mesa, CA 92626 Phone: (866) 772-6688 Email: info@spamsoap.com Website: www.spamsoap.com With no hardware or software to install, Spam Soap Message Archiving provides an on-demand email archiving and surveillance solution for SEC and FINRA compliance. Minimize costs and risks, simplify archiving and surveillance, enforce corporate email policies, increase employee productivity and safeguard business integrity. Prevent non-compliant emails from being sent with outbound message interception. Earn recurring revenue as a Partner. Top Sound Compliance Services Peter Mafteiu, Founder 6910 Cascade Avenue Gig Harbor, WA 98335 Phone: (253) 514-8898 Email: pmmafteiu@yahoo.com Sound Compliance Services provides, primarily, an Independent Chief Compliance Officer Service, lead by our founder, Peter Mafteiu. With over 20+ years of experience as a Senior Regulatory Consultant, Special Review Person under SEC Orders, a Chief Compliance and Chief Operations Officer at a $1.4 billion money manager and a Chief Compliance Officer for a global team (5 countries) for Russell Investments, Peter has extensive and practical experience for money managers, broker dealers, hedge funds and mutual funds. The Independent CCO service provides your firm with two options or solutions: A dedicated Chief Compliance Officer for a firm in transition, when you loose your current CCO; A back up (coach, mentor and independent evaluator) for your current compliance program – to help you and your team evaluate (independently) the adequacy of your compliance program. When Compliance Leadership matters, Sound Compliance Services provides you with in depth resources that provide Sound Advice - Sound Recommendations - Sound Solutions! Sound Compliance Services’ inventory includes: Registration; Documentations / Filings; Examinations; Compliance Programs; Polices, Procedures, Controls; Evaluation & Assessment; Operations Consulting; Problem Solving and Innovation; Customized Solutions. |
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