Exhibitors
Battea-Class Action Services, LLC
Battea is an outsourced provider of the industry’s leading securities class action settlement recovery service. Battea streamlines the complex securities class action claims filing process for financial institutions utilizing our proprietary Claims Engine ®, a trade analysis database. Battea maximizes settlement recoveries while providing unparalleled transparency via online case tracking/reporting tools.
Beacon Verification Services
Beacon Verification Services, a division of ACA Compliance Group, specializes in verification of the Global Investment Performance Standards (GIPS®) set forth by the CFA Institute and adopted by investment managers around the world. ACA Beacon’s several competitive advantages stem from its comprehensive knowledge of investment management and performance measurement in addition to the GIPS. In addition to verification, ACA Beacon also offers GIPS compliance consulting, training, workshops, and custom scope procedures. ACA Beacon has been successful in continuing to grow our client base by providing year-round GIPS consultation, advice on best practices, and a more robust, detailed verification.
www.acacompliancegroup.com/gips
Broadridge Financial Solutions
ProxyEdge® is the internet tool that helps you achieve compliance and streamline proxy voting. Manage, track, reconcile and report your proxy voting through electronic delivery of ballots, online voting and SEC compliant reporting and record keeping. ProxyEdge® helps reduce the time, paper and effort associated with the proxy process.
Compliance11
The Compliance11 Supervisory Suite was developed to revolutionize the software delivery model for monitoring employee and firm trading, tracking affirmations, disclosures, and gifts, and streamlining case management.
EC Proxy Voting Service, Inc.
EC Proxy is a comprehensive domestic proxy voting firm who handles the entire proxy voting process and relieves the multiple demands placed upon your firm. We vote all proxies according to your guidelines and provide you with customized reports that meet all SEC requirements. A partnership with EC Proxy will ensure a streamlined proxy voting process; allowing you to focus on the more important task of managing client assets.
Laserfische
Laserfiche® creates simple and elegant enterprise content management solutions that help organizations run smarter. Since 1987, more than 28,000 organizations—including over 4,000 financial advisors and RIA firms—have used Laserfiche solutions to streamline document, records and business process management.
LiveOffice Advisor Mail
LiveOffice AdvisorMail provides archiving, retention and compliance monitoring solutions for email, instant message, Bloomberg, Reuters, mobile device and social media communications. Our solutions are specifically aimed to help financial services firms meet regulatory and legal discovery requirements. LiveOffice also offers email hosting, email encryption and email continuity solutions. To see AdvisorMail in action, check out this video: http://www.advisormail.com/AdvisorMail-Email-Archiving-Demo.asp or call (800) 374-2032.
Mesirow Financial Insurance Services, Inc.
Mesirow Financial's Insurance Services Division, established in 1972, offers property and casualty, employee benefits, life & disability, personal lines and structured settlements services. We have grown to become one of the largest independent insurance agencies and ranks among the top 30 in the nation. Each one of our teams is led by an owner of the firm, empowered to use the firm's resources for their client's benefit without needing to consult layers of management.
NSCP
The National Society of Compliance Professionals, Inc.(NSCP) is the only membership organization exclusively serving securities industry compliance professionals. NSCP is the source for information, education, certification, networking and advocacy. NSCP’s membership includes Broker-Dealers, Investment Advisers, Investment Companies, Hedge Funds, and Banks, as well as Insurance, Law, Consulting and Accounting Firms.
Sidley
Sidley has a premier, global practice that serves virtually every type of investment fund and investment manager and numerous other market participants. In 2008, Sidley was named “Investment Funds Team of the Year for the U.S.” by Chambers and Partners. Sidley was also recognized in Institutional Investor’s 2006, 2007, 2008 and 2009 Alpha Awards™ for hedge fund legal service providers.
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Smarsh, Inc
Smarsh® provides hosted solutions for archiving electronic communications, including email, IM and social media platforms like Facebook, LinkedIn and Twitter. Founded in 2001, Smarsh helps over 10,000 organizations manage and enforce flexible, secure and cost-effective compliance and records retention strategies.