SS&C Advent is laser focused on helping our clients compete and thrive. Our solutions eliminate boundaries between systems, people and information. So you can make better informed decisions, accomplish more in less time, manage and minimize risks, and comply with complex regulations. Today, as a business unit of SS&C, our commitment to your success is as strong as ever. And our ability to deliver has been strengthened by SS&C’s vast global portfolio of technology applications and services. Our combined companies deliver innovative solutions to more than 10,000 financial services organizations worldwide. Together with our clients, we are continuing to transform the investment management industry. For more information on Advent products visit www.advent.com.
The BasisCode Compliance suite of compliance software solutions are used by some of the world’s leading financial services, consulting, legal, accounting, fund administrator and broker-dealer organizations. We offer regulatory compliance software that work for firms of every size and every need. Core software for organizations with basic compliance needs; enterprise software for firms requiring more comprehensive solutions. Every BasisCode compliance software solution is scalable and flexible to meet your organization’s requirements. www.basiscode.com
Cairn Investment Performance Consulting provides the investment industry with expert guidance and resources related to their investment management and performance measurement practices. Our comprehensive services can include Performance Measurement Services, Composite Management, Risk Analytics and Portfolio Characteristics, and GIPS® compliance support. We also leverage our extensive experience to provide performance measurement training and review materials for the CIPM® certificate. www.cairnipc.com
CFA Institute is a global community of investment professionals working to build an investment industry where investors’ interests come first, financial markets function at their best, and economies grow. We are driven by the belief that lasting economic growth depends on trust, competence, and transparency in financial markets, and we know that it must be led by professionals who are ethically centered and professionally trained. In short, we are here to lead, support, and connect all who want to create a better investment industry. www.cfainstitute.org
Financial Investment News is the #1 provider of manager searches, news and information for the business development, marketing and client service professionals at institutional asset management firms. Financial Investment News offers fin|searches, the most powerful manager search database and directory available for the institutional asset management space; fin|daily, a daily e-mail product that covers the US defined benefit space; Nonprofit News, a weekly e-mail covering the foundation and endowment space; and Emerging Manager Monthly, a monthly e-newsletter that provides news and analysis for small, boutique and women- and minority-owned asset management firms.
The Global Investment Performance Standards (GIPS®) are voluntary standards based on the fundamental principles of full disclosure and fair representation of investment performance results. A global standard for investment performance reporting gives investors around the world the additional transparency they need to compare and evaluate investment managers. www.gipsstandards.org
Guardian Performance Solutions LLC (GPS) is a specialty compliance consulting firm dedicated to assisting investment advisers with performance advertising. Areas of focus and expertise include reviewing performance advertisements for adherence with regulatory requirements and working with investment management firms to achieve and maintain compliance with the Global Investment Performance Standards (GIPS®). Because GPS does not provide verification services, GPS is free from independence concerns and can take a hands-on approach to developing and managing an adviser’s GIPS compliance program. Additional information can be found at www.GuardianPerformanceSolutions.com.
NSCP is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the securities industry. NSCP is for compliance, by compliance – it is our mission is to provide professional resources to financial services professionals through our unequaled network of peers, professional education, regulatory interaction and professional standards. NSCP is THE source for compliance information, education, certification, networking and advocacy. Our diverse membership includes almost 2000 compliance professionals at investment advisers, broker-dealers, insurance companies, investment companies, hedge funds, and banks, as well as the law, consulting and accounting firms who serve them. www.nscp.org
Schwab / Compliance Solutions
Taking ownership of compliance means staying ahead of the regulatory landscape, seeing the big picture, and maintaining control. But it doesn’t mean doing it on your own.
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.
Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, NASAA and MSRB Series 6, 7, 63, 65, 66, 24, 26, 27, 28, 50, 51, 52, 53, 62, 79, 82 and 99 licensing exams. Solomon’s study materials consist of exam study guides, online exam simulators, audiobooks, online video lectures, online study courses, individual tutoring, “Ask the Professor” individual question responses, workbooks and mobile apps, and are designed to address the learning needs of all kinds of test takers. Save 5% now on our study packages through the Focus 1 partner page: http://solomonexamprep.com/partner/focusone.
Tessera Capital Partners, LLC (Tessera), is an independent third-party sales and marketing firm that offers its services to a select group of traditional and alternative investment management organizations. The firm partners with investment managers to provide tailor-made solutions that will satisfy each one’s individual need. Tessera provides managers with a full array of sales and marketing services. It is our goal is to partner with individual managers and become a seamless extension of the firm’s capabilities. www.tesseracapital.com
Third Party Marketers Association (3PM) is an association of independent, outsourced sales and marketing firms that support the investment management industry worldwide. 3PM Members are properly registered and licensed organizations consisting of experienced sales and marketing professionals who come together to establish and encourage best practices, share knowledge and resources, enhance professional standards, build industry awareness and generally support the growth and development of professional outsourced investment management marketing. www.3pm.org
The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public’s trust. www.sec.gov