Introducing ComplianceConnect

A whole new level of compliance consulting services exclusively for select Strategic Partners.
 

Welcome to an exciting new class of compliance consulting services. Through ComplianceConnect you offer your clients the highest levels of professional advice and expertise—fast—on Investment Adviser and Broker-Dealer compliance issues.
 

Designed to meet the faster pace and demanding requirements of a select group of Strategic Partners and their clients, ComplianceConnect gives you unprecedented, timely access to regulatory compliance experts.
 

Our Strategic Partners service the following types of clients:

• Investment Advisers
• Broker-Dealers
• Hedge Funds
• Mutual Funds
• Insurance Affiliates

With ComplianceConnect, you get:
 

• On-call compliance assistance through a web-based format that gets you answers and professional advice within 24 hours, Monday-Friday.
• Dedicated webpages (password protected) for our Strategic Partners and their clients to access our team of compliance experts - regulatory specialists and seasoned pros with years of experience in investment adviser and broker-dealer compliance, including former SEC examiners, FINRA investigators and Chief Compliance Officers.
• A value-add service offered under your own program and unique from your competitors.

Certified Professionals
The ComplianceConnect team includes professionals holding the FINRA Institute/Wharton School sponsored Certified Regulatory Compliance Professional (CRCP) designation. Team members speak regularly at compliance conferences and events to help educate the industry on regulatory matters.
 

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