Compliance Conference 2017
 
We are pleased to give our partners numerous networking and exhibiting opportunities throughout the conference with compliance professionals, industry experts, regulators and our own compliance team. Put your name and brand front and center with our attendees to help support them in achieving their compliance goals.


Click Here to Download 2017 Conference Sponsorship Brochure








Thank you to our valued sponsors

Analytix Solutions - 

Analytix Solutions combines robust accounting expertise with innovative technologies to deliver integrated solutions customized for your firm. As a single source financial solutions provider, Analytix partners with companies to offer clients a range of bookkeeping and accounting services for small to mid-sized businesses. Depending on your organization’s needs, we can function as bookkeepers, accountants, controllers, business advisers, and part-time CFOs. We also have a team of experts who can perform accounting systems' integrations. Our accounting solutions are scalable during peak periods, including tax deadlines, providing flexibility in bandwidth. Leveraging our services allows you to focus on the more strategic aspects of your business or expand service offerings without adding overhead. Our professionals can work directly with your clients, or we can deliver private label services so that the relationship is completely managed by your organization. For more information on Analytix Solutions, visit us at www.analytixaccounting.com.



Charles Schwab Compliance Solutions - 
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. Please visit www.schwab.com/compliancesolutions.



DeMarco Sciaccotta Wilkens & Dunleavy, LLP (DSWD) - 

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.




Global Relay -

Compliance has never been a more complicated process to manage. In the highly regulated financial industry specifically, requirements to archive and supervise electronic communications are becoming increasingly stringent. At Global Relay, we have a laser focus on designing and delivering compliant archiving and information governance solutions for the financial sector and other highly regulated industries. Our solutions can help your organization meet its recordkeeping, supervision, audit, privacy, and business continuity requirements for electronic communications.

As a subject matter expert in compliance, we have extensive knowledge and experience of global regulatory requirements, privacy laws, data protection laws, and restrictions on transborder data flows. Whether acting as your required Third Party Downloader under SEC/FINRA regulations, capturing voice data to meet FCA regulations, or working through MAS requirements for using an outsourced vendor, we can help you meet your compliance requirements across all regions and countries.





INTL FCStone -

Our Correspondent Clearing group provides comprehensive clearing and custody solutions for US and international broker-dealers and investment advisers. Correspondents choose us because we offer lower costs, lower minimums and personalized service – all of which allow them to compete with much larger firms. Most importantly, we help broker-dealers and investment advisers manage and grow their businesses with next-generation technology, a wide variety of investment products, and access to multiple markets. 




Raymond James Financial, Inc.

Raymond James Financial, Inc. (NYSE: RJF) is a leading diversified financial services company providing private client group, capital markets, asset management, banking and other services to individuals, corporations and municipalities. The company has 7,200 financial advisors serving approximately 3 million client accounts in more than 2,900 locations throughout the United States, Canada and overseas. Total client assets are $649 billion. Public since 1983, the firm has been listed on the New York Stock Exchange since 1986 under the symbol RJF. Additional information is available at
www.raymondjames.com.





Smarsh - 

For compliance and risk professionals, electronic communications are often where the “smoking gun” is found. The exponential proliferation of these electronic records makes finding these needles in the haystacks challenging. Day-to-day monitoring can become more time-consuming and inefficient, especially as compliance programs designed for paper communication (or even email) haven’t scaled for today’s social and mobile workforce.

Organizations need to be able to search and produce the right content at the right time, especially when the regulator comes calling. They also need to demonstrate that the policies that are in place to govern usage of electronic communications are being enforced and are working as designed.

Smarsh helps organizations of all sizes manage the retention and oversight regulatory obligations for electronic communications from the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), Federal Financial Institutions Examination Council (FFIEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Financial Conduct Authority (FCA), Investment Industry Regulatory Organization of Canada (IIROC) and other similar governing bodies around the world.





Solomon Exam Prep -


Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, MSRB, and NASAA securities regulatory exams including the Series 6, 7, 24, 26, 27, 28, 50, 51, 52, 53, 62, 63, 65, 66, 79, 82 and 99. The Solomon Exam Prep training system includes digital and print Exam Study Guides, Online Exam Simulators, Audiobooks and Video Lectures to address the learning needs of all kinds of test takers.




Starkweather & Shepley Insurance Brokerage - 

Financial Institution Practice Group – Westwood MA

Starkweather & Shepley’s Financial Institution Practice Group is a leading provider of Errors & Omissions, Directors & Officers and Cyber Insurance and Bonding to the Financial Services industry.

Our focused approach and unique understanding of the Financial Industry helps us to identify the unique exposures faced daily by a broad spectrum of specialty firms in the financial industry. Our passion to bring the highest levels of service and attention to detail are what makes us an industry leader in the FI space.

Our practice group specializes in coverage design and risk management strategies for financial institutions of all size and types. Our clients include Investment Advisers, Securities Brokers Dealers, Mutual Funds, Private Funds, Hedge Funds, Private Equity, TPA’s, Trust Companies and Banks.

Founded in 1879, Starkweather & Shepley Insurance Brokerage, Inc. (S&S) has been in business for 138 years, and is ranked as the 72nd largest insurance brokerage by Business Insurance Magazine.

Contacts:
Paul J. Smith, AIF
PSmith@StarShep.com
781 801-1570

Andrew J. Fotopulos, President – Starkweather and Shepley Insurance Corp of MA
afotopulos@starshep.com
401 431-9359




TradePMR - 

TradePMR provides custodial services for investment advisors. We provide the experience investment advisors deserve with a dedicated support team and technology designed for advisors. Founded to make advisors' lives easier, we emphasize our technology because it turns the routine into the automated, which lets advisors focus on their practice and their clients. With our EarnWise Advisor Workstation, advisors can experience the ease of placing trades from the golf course or the airport. With the EarnWise Robo Solution, clients can open accounts online within minutes and without paper for a seamless client experience.




TriNet - 

Our full-service HR solution helps businesses contain HR costs, minimize employer-related risks, and reduce the administrative burden of HR. With TriNet as your strategic HR partner, you can focus on developing your products, services and employees, instead of HR. Because we're a Professional Employer Organization (PEO), we're a co-employer of your people and can handle the burdens of HR better than you can alone. Learn more at TriNet.com.




New Registration
Tell a Friend