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We help you maintain a meaningful and fully documented compliance program.
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We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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Leadership Team
Frank Watson
President and CEO
Ellen Harvin
Executive Vice President
John Marriott
Executive Vice President
An Expert Team Makes All The Difference.
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Our industry is consistently changing and we want to keep you up to date with how it affects you.
SPACs: What the SEC Wants You to Know
SPACs: What the SEC Wants You to Know WHAT HAPPENED? Special-purpose acquisition companies, or SPACs, have recently surged in popularity and the SEC is paying attention. These vehicles are [...]
No Need to Report Certain Home Offices on Form ADV
No Need to Report Certain Home Offices on Form ADV WHAT HAPPENED? The U.S. Securities and Exchange Commission released an FAQ statement clarifying there is no need to report [...]
Key Takeaways from the SEC’s ESG Risk Alert
Key Takeaways from the SEC’s ESG Risk Alert WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission released a Risk Alert outlining specific compliance concerns associated with environmental, social, [...]
Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts
Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts WHAT HAPPENED? The owner and principal of an Indiana-based investment advisory firm was recently fined by the U.S. [...]
Firm Principal Fined by the SEC for Supervisory Violations
Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission charged a California-based adviser with several compliance failures related to supervisory [...]
Compliance Considerations for RIAs and BDs Trading Digital Asset Securities
Compliance Considerations for RIAs and BDs Trading Digital Asset Securities WHAT HAPPENED? Digital assets continue to be a hot topic among regulators as these securities gain momentum in the [...]