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We help you maintain a meaningful and fully documented compliance program.
What We Do
We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
Dedicated Compliance Team
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.
Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
Use of “May” in Form ADV Deemed Negligent by D.C. Circuit Court
Use of "May" in Form ADV Deemed Negligent by D.C. Circuit Court WHAT HAPPENED? In April, the D.C. Circuit Court of Appeals in Robare Group, Ltd. v. United States [...]
SEC Adopts Rules and Interpretations Including Form CRS and Regulation Best Interest
SEC Adopts Rules and Interpretations Including Form CRS and Regulation Best Interest WHAT HAPPENED? On June 5, 2019, the Securities and Exchange Commission announced the adoption of a package [...]
OCIE Warns of Cloud-Based Server Security Risks
OCIE Warns of Cloud-Based Server Security Risks WHAT HAPPENED? Last week, the Office of Compliance Inspections and Examinations (OCIE) discovered several security risks related to the storage of customer information by [...]
Form CRS: What You Should Know
Form CRS: What You Should Know WHAT HAPPENED? In April 2018, the SEC released a proposed rule which would require investment advisers to provide a relationship summary to prospective [...]
FINRA Cites Unreasonable Email Review
FINRA Cites "Unreasonable" Email Review - Firm Fined, Censured WHAT HAPPENED? On April 12, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued a settlement with a Salt Lake City-based [...]
FINRA’s 2019 Entitlement User Accounts Certification
FINRA's 2019 Entitlement User Accounts Certification WHAT HAPPENED? The FINRA Entitlement Program requires an annual review and certification of user accounts to ensure that all persons with access to [...]