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Dually-registered firms better undertake some analysis in seeking best execution
2/4/2013
A fiduciary faces a responsibility to be aware of conflicts of interest and to deal with them and perhaps no situation creates one more than an investment adviser executing its trades through an affiliated broker.The inherent conflict arises because your larger firm receives compensation through the ...
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Best execution enforcement action demonstrates that wording counts on Form ADV
11/5/2012
Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to clients and potential clients.Tilden Loucks & Woodnorth ($107M in AUM) in Chicago settled with the SEC for Advisers Act violations in not seeking best e ...
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Options beyond price and commission can aid best ex efforts for fixed income securities
8/13/2012
It appears as a constant challenge: how can you satisfy your obligation to seek best execution when transparency lacks in fixed-income transactions like a ship navigating a harbor saddled in fog?"There's a lot that can be done other than price and commission," asserts Greg Florio, co-managing partne ...
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Rebates to brokers could be costing you best execution, study asserts
5/14/2012
Brokers may be directing your trade executions through certain exchanges because they're getting rebates that could increase trading costs by $5 billion annually, according to a study by Woodbine Associates in Stamford, Conn."The likeliest driver of order routing is the pricing schema offered by the ...
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COMPLIANCE RESOURCE DIRECTORY
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Red Oak Compliance
http://www.redoakcompliance.com
1406 East Main Street
Fredericksburg TX 78624
(512) 721-0421
Red Oak can save clients time and money by reducing their full-time staffing needs while staying compliant with the regulatory bodies. Its highly qualified compliance consultants are here to help you improve efficiency, increase profitability and make your job easier. It also offers clients help with registration, education, training and advertising review.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Registration
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RIA Compliance Group LLC
http://www.ria-compliance.com
5301 North Federal Highway, Suite 380
Boca Raton FL 33487
(561) 674-0092
sales@ria-compliance.com
RIA Compliance Group provides practical, personalized, and cost-effective solutions to satisfy all of your compliance needs. We offer full-service investment adviser registrations, mock State and SEC exams, as well as ongoing compliance consulting programs to fit every budget. Our mission is to get you up and running as quickly as possible and keep you compliant for years to come. All of our services can be ordered a la carte or as part of a fixed-price retainer package.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Registration
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Charles Schwab
http://www.charlesschwab.com/compliancesolutions.com
211 Main St.
San Francisco CA 94105-1905
compliancesolutions@schwab.com
Schwab Designated Brokerage Services and Compliance11® have joined forces to bring you Compliance Solutions. This employee monitoring offer includes designated brokerage services, cloud-based technology, and a wide range of financial products and services for employees. Together, these cost-saving solutions can help companies reduce manual processes, mitigate risk, and think proactively about compliance. Compliance11’s cloud-based technology platform is as comprehensive as it is easy to use and includes four separate modules designed to track pre and post personal trading, affirmations and disclosures, case management, and gifts and entertainment. Charles Schwab & Co., Inc. (“Schwab”) and Compliance11, Inc. are subsidiaries of The Charles Schwab Corporation.
Areas of Expertise:  Compliance Monitoring and Testing; Document Management; Software; Trade Surveillance and Reporting
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Smarsh
http://www.smarsh.com/
921 SW Washington Street
Suite 540
Portland OR 97205
(866) 762-7741
support@smarsh.com
Smarsh provides hosted solutions for archiving electronic communications, including email, instant messaging and social media platforms such as Facebook, LinkedIn and Twitter. Smarsh will capture every email (and attachment) that enters or leaves your organization, as well as internal messages, and preserve them all in evidentiary-quality form in a central repository. Its proprietary policy enforcement engine introduces unparalleled efficiency in email supervision, systematically classifying messages based on keyword violations, complaints, advertising, privileged communication and more, and significantly reduce "false-positive" search results. And its solutions for data-leak prevention help companies mitigate risk, communicate confidentially and meet emerging data protection obligations.
Areas of Expertise:  Compliance Monitoring and Testing; Document Management; Software
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RIA in a Box
http://www.riainabox.com
108 West 39th Street
Suite 604
New York NY 10018
(866) 611-7638
info@riainabox.com
RIA in a Box offers ongoing monthly compliance services designed to fit every investment adviser’s budget, with packages beginning at $99 per month. Its team of former state regulators has unique compliance expertise which spans both SEC and state investment adviser regulations. Its consultants can answer compliance questions, review registration documents, provide Chief Compliance Officer (CCO) training, and conduct a mock state and SEC audits.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Registration
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Alaric Compliance Services, LLC
http://www.alariccompliance.com
150 Broadway
Suite 302
New York NY 10038
(212) 243-5241
gtalarico@alariccompliance.com
Alaric Compliance Services, LLC provides regulatory compliance services to investment managers and funds registered with the SEC and the NFA/CFTC and to broker/ dealers registered with FINRA. Our client base includes a broad spectrum of well-known and respected names in the financial services sector, including investment advisers, investment companies, both closed-ended and open-ended mutual funds, business development companies, hedge funds and private funds, commodities and futures firms ranging in assets under management from $100 million to $110 billion. Our key services include: independent Chief Compliance Officers, monitoring and testing services, SEC and FINRA Mock Examinations, Principal Financial Officer services and compliance consulting services. Founded in 2004, we have offices in New York, Chicago, Los Angeles and Washington, D.C.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures; Registration; Risk Management
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Vigilant Compliance
http://www.vigilantcompliance.com
5 Christy Drive
Suite 209
Chadds Ford PA 19317
(610) 558-1750
sfaia@vigilantcompliance.com
Vigilant Compliance provides outsourced Chief Compliance Officers for Investment Advisers. An Adviser’s Compliance with the Investment Adviser’s Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, and other Regulations takes careful analysis and planning—and Vigilant brings both to Investment Advisers.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures
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Advanced Regulatory Compliance Inc.
http://www.advreg.com
415 N Camden Drive
Suite 121
Beverly Hills CA 90210
(310) 275-7300
pburns@advreg.com
Advanced Regulatory Compliance, Inc. is a consultancy dedicated to helping investment advisory firms, broker-dealers and their representatives meet ever-changing compliance and regulatory obligations. It offers personalized and tailored compliance/regulatory advice to address each firm's way of doing business. To that end it offers clients assistance with investment adviser registration, mock audits, annual reviews and due diligence.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures
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Focus 1 Associates, LLC
http://www.focus1associates.com
675 N 5th Street
Jacksonville OR 97530
(541) 201-2001
info@focus1associates.com
Focus 1 Associates provides advisory firms with the tools and consulting necessary to complete and document a robust annual review that satisfies industry best practices and the requirements of Rule 206(4)-7 of the Investment Advisers Act of 1940. Its services include: Performing a GAP Analysis; Development of a Compliance Program; Maintaining/updating the firm's current Compliance Program, and the completion of a number of forensic testing items within the overall compliance program.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Policies and Procedures; Registration
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Katahdin Solutions
http://www.katahdinsolutions.com
13 Pratt Court
Cohasset MA 02025
(617) 359-2600
peter.robinson@KatahdinSolutions.com
Katahdin Solutions helps companies at various stages of establishing and operating a regulatory program to identify and evaluate regulatory challenges, develop strategies and plans for improvement, define operating frameworks, and implement solutions to address critical near term needs and enable strategic operating flexibility.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Policies and Procedures; Trade Surveillance and Reporting
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SEC Compliance Advisors
http://www.secadvisors.com
590 Madison Avenue
18th floor
New York NY 10022
(866) 526-3555
info@secadvisors.com
SCA consultants are constantly communicating with regulators and reviewing new rules, guidelines, no-action letters, etc. in order to stay current on SEC and state regulatory body exam priorities, focus areas and new initiatives. SCA’s consultants provide investment adviser firms with supervisory and compliance procedures, prepare clients for SEC exams, conduct Annual Reviews, review personal securities transactions, respond to SEC deficiency letters, review advertising and marketing material, among other services.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures; Registration; Trade Surveillance and Reporting

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