Boca 2015 Compliance Conference
 
               
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INTL FCStone Financial Inc., member FINRA/SIPC and registered with the MSRB, is a wholly owned subsidiary of INTL FCStone Inc. The heritage of INTL FCStone Inc. (Nasdaq: INTL) dates back to 1924. Today we are a global, Fortune 500 financial services organization relied upon by thousands of companies around the world for our wide array of services and our in-depth industry knowledge and expertise. The Broker Dealer Correspondent Clearing division of INTL FCStone Financial Inc. provides securities execution and clearing services. Execution services are provided by INTL’s professionally managed trading desks.  Clearing, settlement and custody are provided by Pershing, a BNY Mellon Company, via a tri-party clearing agreement. Tri-party clearing offers distinct benefits for smaller to mid-sized broker-dealer. Benefits include access to top tier clearing, custody, systems and products with lower revenue and AUM requirements, lower clearing costs and a more responsive relationship management experience.







DeMarco Sciaccotta Wilkens & Dunleavy, LLP (DSWD) is a full-service boutique accounting and advisory firm specializing in the broker-dealer, hedge fund and registered investment advisor sectors.  DSWD offers the experience and technical skill of a large firm while retaining the personal service and competitive pricing our clients have come to expect.  DSWD services clients across the entire United States, Canada and Ireland. With approximately 60 broker-dealer clients, DSWD has become the trusted service provider for their annual financial audit and tax requirements. DSWD also performs surprise exams for registered investment advisors as required by the custody rule.  DSWD is a Public Company Accounting Oversight Board (PCAOB) registered firm and has undergone peer review as administered by the American Institute of Certified Public Accountants. DSWD is also a founding member of the Focused Audit Alliance.  


 
Compliance Solutions’ employee-monitoring offer includes Schwab Designated Brokerage Services, Schwab Compliance Technologies™, and a wide range of financial products and services for employees. These solutions can help you proactively manage compliance, promote a positive employee experience, build long-term value across your business, and instill trust with clients. 

Compliance Solutions is comprised of Schwab Designated Brokerage Services (DBS), a division of Charles Schwab & Co., Inc. (“Schwab”), Member SIPC, and Schwab Compliance Technologies, Inc. (“SchwabCT”), formerly Compliance11, Inc. Schwab Designated Brokerage Services provides brokerage solutions for corporate clients who monitor their employees’ securities activity. SchwabCT provides technology solutions for corporate clients to help facilitate their compliance technology program implementation. Schwab Compliance Technologies, Inc. and Charles Schwab & Co., Inc. are separate but affiliated entities, and each is a subsidiary of The Charles Schwab Corporation. 



North American Professional Liability Insurance Agency, LLC (NAPLIA) specializes in providing Professional Liability Insurance / Errors & Omissions (E&O Insurance) on a national basis. Since 1998, NAPLIA has raised the standard in the professional liability industry by providing unsurpassed Client Resources, White Papers, and topical information for the daily growth and risk management of your practice!


Abel Noser Solutions (ANS) is a leader in the field of Transaction Cost Analysis (TCA).Over 400 companies use our products, and we measure more than $7.5 trillion in trading annually, making us the number one service provider in this field.  Our products and client base are global in scope—approximately two thirds of the trading we measure is in the United States, and one third is in other countries.  Able Noser Solutions measure trading in all equity instruments, futures, and FX currency pairs. Products include Pre-Trade, Real Time, Post-Trade, and Compliance Reporting.



Meridian-IQ, powered by S&P Capital IQ Research, is the newest, deepest and most up-to-date database of financial intermediaries on the market.  We have hundreds of data points on every RIA and Financial Advisors across the country, with unique and actionable information that no other firm possesses.  Meridian-IQ, developed by industry leading professionals, has workflow tools that make it easier to market and analyze Financial Firms and Advisors within the financial services industry.  




Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, MSRB, and NASAA Series 6, 7, 24, 26, 27, 28, 51, 52, 53, 55, 62, 63, 65, 66, 79, 82 and 99 exams. Solomon's innovative study system consists of exam study guides, online exam simulators, audiobooks, on-demand study courses, workbooks, and mobile apps.  Solomon learning solutions are designed to engage both the financial services novice and expert and help students understand and successfully apply their learning within a testing environment. Solomon exam experts bring a wealth of industry knowledge, as well as a deep understanding of adult learning strategies.  At Solomon, we focus on the content and on the process, not on the questions.



Global Relay is the leading provider of cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector. Global Relay’s 20,000 customers in 90 countries include 22 of the top 25 global banks. Global Relay Archive securely captures and preserves email, instant messaging, mobile messaging, Bloomberg, Thomson Reuters, Twitter, LinkedIn, Facebook and more — with BlackBerry, iPhone, iPad, Android, Outlook and Web access. Global Relay is the Message Archiving Vendor in FINRA's Compliance Resource Provider Program. Global Relay has strategic partnerships worldwide, including an exclusive global Strategic Partnership for Thomson Reuters Messaging.


Smarsh® delivers cloud-based archiving solutions for the information-driven enterprise. Its centralized platform provides a unified compliance and e-discovery workflow across the entire range of digital communications, including email, public and enterprise social media, websites, instant messaging and mobile messaging. Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Oregon, with offices in New York City, Atlanta, Boston, Los Angeles and London.



BasisCode Compliance is an enterprise compliance and audit platform that provides investment advisers and broker/dealers an integrated suite of multiple rules-based compliance functions. Centralized and intuitive, our solution spans functionality, from testing and risk assessment to personal trading and certifications, all within a unified solution.