Best Practices Consulting Group
19201 Sonoma Highway, No. 162
Sonoma, California 95476
(707) 939-3531
www.bestpracticesconsulting.com
We provide services to SEC-registered RIAs, hedge funds and California-registered RIAs. We set up new advisory firms and provide ongoing compliance consultations and program reviews.
Wendy Phillippay & Lucienne Dilworth, Biography
Promotion: One hour free consultation to Cornerstone clients.
Bravo Zulu
2715 63rd AVE SE
Mercer Island, WAÂ 98040
The best way fiduciaries can protect themselves from complaints or lawsuits is to do things right and prove it through documentation and ongoing evaluations.
Bravo Zulu can review and independently assess the current practices, identify areas that need improvement, and implement policies and procedures that put industry best practices into action.
Overview
Compliance Consultants, LLC
425-765-6427
www.compliance-consultantsonline.com
Compliance Consultants can advise you on best practices for information processes, internal controls, and department structure. Consulting Services include: Policy and procedure development, SEC inspection support, Compliance training, On-going review of employee and proprietary trading, Compliance training, & Advertising and sales literature review.
The Compliance Department Inc.
88 Inverness Circle E. Ste F-104
Centennial, Colorado 80112
866-903-6760
www.thecompliancedepartment.com
The Compliance Department Inc. specializes in providing Compliance out sourcing services to securities broker-dealers and investment advisors as well as banking institutions and insurance companies. Our clients range from individual investment advisors to large independent broker-dealers as well as bank-owned broker-dealers and insurance companies.
Chester Hebert, Biography
Promotion: Free first call or consultation
Dynamic Compliance Consulting LLC
PO Box 3497
Granada Hills, CA 91394-0497
818-442-2369
www.dynamiccomplianceconsulting.com
Help protect your firm with consulting, educational compliance training, and policies and procedures you can rely on. We offer a number of personalized compliance services.
Tina Mitchell, Biography
Promotion: Call for Package Discounts
National Compliance Services Inc.
355 NE 5th Ave, Suite 4
Delray Beach, Florida 33483
561-330-7645
www.ncsonline.com
NCS is a leader in the compliance and regulatory services industry. Our strength is providing reliable, efficient, and reasonably priced products and services for investment advisers, hedge funds, mutual funds, and broker-dealers. Our customized services are designed so you can work closely with an NCS consultant to structure a compliance program that is appropriate for your firm's unique regulatory needs.
Renaissance Regulatory Services, Inc.
350 Camino Gardens Boulevard Suite 105
Boca Raton, FL 33432
561-368-2245
www.rrscompliance.com
Renaissance Regulatory Services, Inc. (RRS) provides comprehensive compliance and operational consulting and compliance support services to investment advisers, hedge funds, broker-dealers and investment companies.
Specializing in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, financial reporting, and registration services, RRS' staff has the experience and insight to meet all your regulatory and compliance needs. Services are customized to your organization's operations and in most cases performed on site. RRS' consultants and partners consist of former regulators and compliance professionals.
Promotion: Free consultation and 5% discount
Ruddy Law Office
1225 15th Street NW
Washington, DC 20005
202-797-0762
www.ruddylaw.com
THE RUDDY LAW OFFICE, PLLC is dedicated to providing legal advice to registered investment advisers, commodity futures registrants (IBs, FCM, CPOs and CTAs), hedge funds, and other members of the alternative investment community.
Mark Ruddy, Biography
