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| Let us serve as your chief compliance officer or perform the compliance function for your firm. |
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| There is no way for broker-dealers and registered investment advisers to get around the rules requiring that they employ experienced chief compliance officers.
In fact, it is now the case that both broker-dealers and registered investment advisers have obligations to maintain experienced compliance officers and to carry-out serious compliance programs. We are ready to discuss the possibility of outsourcing this requirement to us - whereby we serve as your external chief compliance officer. This may be a reasonable and cost-effective alternative for smaller organizations who are not prepared to pay the high levels of compensation demanded in today's market for such professionals. According to many large industry service providers, ". . . outsourcing is likely to be the way that many investment advisers solve their obligations to employ experienced chief compliance officers, as required by recently adopted SEC rules."
Introducing CompliPort, the compliance reporting aid and facility for registered entities.
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