|
|
|
 Service Provider Directory
SEARCH RESULTS: 39 Compliance
FEATURED COMPANY
|
Gene Foley Senior Vice President, Sales
212-658-5339
|
55 Water St.
New York NY 10041 USA
|
Specialty: Bowne ComplianceTrak streamlines the compliance monitoring and reporting requirements applicable to your operations. Built by leaders in the compliance industry and powered by the latest in Microsoft .NET technology, Bowne ComplianceTrak enables you to effectively build and maintain your compliance infrastructure. By allowing you to simultaneously monitor and report on various compliance responsibilities, the software allows you to easily demonstrate that your firm has a culture of compliance to investors, auditors and examiners alike. Whether you are a large, multi-billion dollar institution or an emerging start-up hedge fund, Bowne ComplianceTrak can help you fulfill your compliance responsibilities and enhance operational efficiency. As a hosted solution, there is no software or hardware to install. Bowne ComplianceTrak is run off of servers residing at a secure, world-class data center.
|
|
Sponsor of the Spring 2010 Fund Services Conference, held May 20, 2010, in NYC.
|
|
Product Development & Operational Regulatory Compliance/US & North America
|
|
FEATURED COMPANY
|
Gene Foley Senior Vice President, Sales
212-658-5339
|
55 Water St.
New York NY 10041 USA
|
Specialty: Bowne ComplianceTrak streamlines the compliance monitoring and reporting requirements applicable to your operations. Built by leaders in the compliance industry and powered by the latest in Microsoft .NET technology, Bowne ComplianceTrak enables you to effectively build and maintain your compliance infrastructure. By allowing you to simultaneously monitor and report on various compliance responsibilities, the software allows you to easily demonstrate that your firm has a culture of compliance to investors, auditors and examiners alike. Whether you are a large, multi-billion dollar institution or an emerging start-up hedge fund, Bowne ComplianceTrak can help you fulfill your compliance responsibilities and enhance operational efficiency. As a hosted solution, there is no software or hardware to install. Bowne ComplianceTrak is run off of servers residing at a secure, world-class data center.
|
Compliance/US & North America
|
|
FEATURED COMPANY
|
William Mulligan CEO
212-515-2800
|
3 Park Avenue
14th Floor
New York NY 10016 USA
|
Specialty: Founded in 2001, HedgeOp Compliance, LLC focuses exclusively on helping hedge fund and fund of hedge fund managers meet their compliance and operational challenges. HedgeOp has developed a successful business based on its proactive approach to servicing clients and proven reputation. Our clients range from start-up hedge funds to large firms with well-established track records. Specifically, HedgeOp consists of the following business lines: ComplianceTrak- ComplianceTrak is a web-based software application that enables hedge fund managers to build and maintain a solid compliance infrastructure by fully integrating compliance monitoring and reporting applicable with their operational environment and generating a tailored road map for the CCO and/or compliance team. Consulting Services- HedgeOps consulting group provides a wide array of on-going and project-based compliance support services for SEC-registered and unregistered managers. These services range from compliance infrastructure reviews to more proactive monitoring and maintenance of a managers compliance program. Due Diligence Research (DDR)- Our DDR team works with fund of funds and other institutional investors to perform extensive non-investment due diligence research on prospective money managers and their underlying funds. HedgeOp has a staff of approximately 30 employees with offices in New York and Boston. Contact Information: New York Office 3 Park Avenue, 14th Floor New York, NY 10022 Phone: 212-515-2800 Fax: 212-515-2820 Email: info@hedgeop.com Boston Office 101 Federal Street, Suite 1900 Boston, MA 02110 Phone: 617-204-6160 Fax: 617-204-6182 Email: info@hedgeop.com
|
HedgeOp Compliance, LLC focuses exclusively on helping hedge fund and fund of fund managers meet their compliance and operational challenges.
Our various web-based compliance tools and specialized compliance consulting services will help hedge fund managers identify and address all of the compliance and operational issues relevant to their business and help build and maintain a solid compliance infrastructure.
Our presentation from the HedgeWorld expo can be downloaded on this page.
Compliance/US & North America
|
|
FEATURED COMPANY
|
Michael Poisson Chief Sales & Marketing Officer
908-508-8012, 201-463-7500
|
30 E. 39th Street, 5th Floor
New York NY 10016 USA
|
Specialty: Investor Analytics LLC (IA), founded in 1999, offers cutting-edge risk measurement and risk management services for asset managers and asset owners. With clients located in the US, Europe and Asia, IA offers a truly global service.
Our application is remotely hosted so clients have no software to download to their machines; access is provided through a secure internet connection, with the added bonus that all software updates flow seamlessly to our clients. The Service component is equally important to IA; we pride ourselves on having a world-class Client Service team, recognized as among the most responsive, knowledgeable and professional in the industry.
Our Financial Engineers, all highly qualified with Masters degrees and Doctorates, lead our Research and Development process, constantly updating our product offerings so we remain at the forefront of the industry. Within the past 12 months, some of the notable enhancements include the release of an enhanced Monte Carlo VaR; expanded market stress capabilities in which we highlight recent movement in the stresses (i.e. the mean, standard deviations and range of each risk factor over a given time period) allowing clients to stress the portfolio with a better understanding of the typical range of the stress, and can also stress a factor and specify that the remaining factors auto calculate based on the covariance with the reference factor; the development of UCITS IV reporting to meet the new requirements; the development of Money Market Stress tests to comply with recent SEC directives for 2a-7 funds.
|
|
Sponsor of the The Hedgeworld October 2010 Conference, held October 21, 2010, in NYC.
|
|
|
Sponsor of the The Hedgeworld Communications & Sales Marketing Conference, held September 16, 2010, in NYC.
|
|
Compliance/US & North America
|
|
FEATURED COMPANY
|
Timothy Kennedy Vice President, Sales/Marketing
212 335 6061
|
100 Park Avenue
16th Floor
New York NY 10017 USA
|
Specialty: MyComplianceOffice offers wealth management firms an unmatched suite of applications to help manage and automate their compliance activities, cases and documents in a secure, centralized location. MyComplianceOffice's ease of use makes it simple for firms to effectively oversee their entire compliance program. A web-based solution, MyComplianceOffice enables information to be a click away.
|
|
Sponsor of the Fund Services Expo and Conference 2008, held June 3, 2008, in NYC.
|
|
Compliance/US & North America
|
|
FEATURED COMPANY
|
Bart J.McDonald CEO
561-368-2245
|
350 Camino Gardens Boulevard
Suite 105
Boca Raton FL 33432 USA
|
Specialty: Renaissance Regulatory Services, Inc. provides compliance and operational consulting and outsourcing services to investment advisers and hedge funds. Specializing in compliance examinations, supervisory procedures, registration services, and ongoing compliance support services, RRS provides the experience and insight to meet all your compliance needs. RRS staff and partners consist of former regulators and compliance professionals who have extensive experience with federal, SRO and state rules and regulations. Visit our website, www.rrscompliance.com, for more information.
|
|
Sponsor of the The Hedgeworld October 2010 Conference, held October 21, 2010, in NYC.
|
|
|
Sponsor of the Fall 2009 Fund Services Conference, held October 6, 2009, in NYC.
|
|
Compliance/Asia Europe Latin America Offshore US & North America
|
|
|
Adviser Compliance Associates
|
Jeffrey C. Morton
Partner
10 Wilmot Street
Suite 310
Morristown NJ 07960 USA
(973) 631-1085
|
Specialty: ACA's principals are all former SEC and state regulatory examiners and investigators who will evaluate the compliance needs of your firm to create a structure that is both comprehensive and practical. ACA conducts mock SEC inspections, drafts responses to SEC deficiency letters, performs quarterly best execution analyses and reviews personal securities transactions. ACA will also act as an on-site liaison between your firm and the SEC the next time they decide to walk through your door.
Email: Click here
Compliance/US & North America
|
|
|
Charles River Development
|
Jen Duggan
Sales Executive
7 New England Executive Park
Burlington MA 01803 USA
781-238-0099
|
Specialty: Charles River Compliance provides global, real-time, pre-trade, post execution and end-of-day compliance monitoring for all asset classes. The award-winning system offers powerful data administration, and serves as a central repository for compliance rules, alerts and resolution tracking. The system supports a wide range of regulatory rules and client mandates, features a 1,700+ rule library and other user-friendly tools and allows users to view and address real-time compliance alerts via Web-enabled devices using the Charles River Anywhere portal.
Email: Click here
Compliance/Asia Europe Latin America Offshore US & North America
|
|
Sponsor of the Fall Fund Services Expo and Conference, held October 2, 2008, in NYC.
|
|
|
|
Investigative Consultants International, LLC
|
Diana Moneta
President
545 Eighth Avenue
New York NY 10018 USA
212-594-5900
|
Specialty: ICI conducts due diligence/business intelligence investigations for financial institutions and corporations to mitigate the risk of fraud. ICI is a full service investigations/risk management firm with global capabilities.
Email: Click here
Compliance/US & North America
|
|
|
National Regulatory Services
|
Oriana DeRose
Vice President, Sales
323A Main Street
PO Box 71
Lakeville CT 06039 USA
860-435-2541 X 1886
|
Specialty: Since 1983, National Regulatory Services (NRS) has been a leader in compliance and registration services for the securities industry. From due diligence reviews to mock exams, we provide experienced consultants who ascertain your risk exposure and respond with solutions designed to minimize your business risk and protect your reputation.
Email: Click here
Compliance/US & North America
|
|
The Lipper HedgeWorld 3rd Fund Services Expo was a success. We thank our sponsors and attendees for their participation.
|
|
|
|
Parks Legal Placement LLC
|
David Claypoole
Principal
160 Division Avenune
Summit NJ 07901 USA
866-727-5534
|
Specialty: Parks Legal recruits attorneys and compliance professionals for investment funds, financial institutions and law firms. Areas of expertise of attorneys placed include hedge funds, mutual funds, swaps, derivatives, commodities and B/D regulation. www.parkslegal.com
Email: Click here
Compliance/US & North America
|
|
|
SEC Compliance Consultants, Inc.
|
Janaya Moscony
CFA
32 Saddlebrook Lane
Phoenixville PA 19460 USA
610-415-9261 x 114
|
Specialty: SEC3 provides compliance consulting services to Investment Advisers, Investment Companies, Broker-Dealers, Transfer Agents, Mutual Fund Administrators, and Banks located in the domestic US, offshore, Asia and Europe. We evaluate the unique compliance needs of your firm when providing consulting services. Services provided include, but are not limited to, registration assistance, mock audits, onsite quarterly reviews, best execution analysis, review of conflicts of interest, and assistance with addressing and responding to regulatory actions.
Email: Click here
Compliance/Asia Europe Offshore US & North America
|
|
|
|
|
AACG Economic Consulting Daniel Levy, PhD National Managing Director
Boston MA 617-338-2224
|
|
|
|
|
Alaric Compliance Services, LLC Guy Talarico CEO and Founder
New York NY 2122435241
|
|
|
|
|
Asset Control Julia Dehay Marketing Programs Manager
New York NY 646 435 1910
|
|
|
|
|
Bekker Compliance Consulting Partners, LLC Carrie F. Bekker Chief Executive Officer
Porter Ranch CA 818-836-1291
|
|
|
|
|
Beverly Hills Regulatory Consultants Group LLC Patrick J. Burns, Jr. Chairman, President & CEO
Beverly Hills CA 310-275-7300
|
|
|
|
|
Blue Sky MLS, Inc. Mary Louise Skinner President
Rutherford NJ (201) 804-3909
|
|
|
|
|
Complyport Limited - UK Compliance Consultants Ron Weekes, Managing Director
London, England NA +44 (0) 207 399 4980
|
|
|
|
|
Comprehensive Securities Compliance Solutions, Inc. Paul King Managing Director
Raleigh NC 877-614-6075
|
|
|
|
|
|
