• About the Conference
• Agenda
• Speakers
• Hotel and Travel Information
• Technology Showcase
• Continuing Education
• Exhibitors

Advent

Advent Software has been providing reliable, trusted solutions to investment management organizations of all sizes and strategies for 25 years. With more than 4,500 client firms, Advent has established itself as a leading provider of mission-critical applications to meet the demands of investment management operations around the world. www.advent.com

Broadridge

ProxyEdge® is Broadridge's electronic proxy voting and delivery solution that helps you achieve compliance and streamline the voting process. It also allows you to manage, reconcile and report your voting history via electronic delivery of ballots and an SEC compliant report archive. With the integration of third party vote recommendations, you can achieve greater efficiency and control over the timing and method of vote execution.

LiveOffice

AdvisorMail is the leading email archiving, compliance (SEC/FINRA) and discovery solution for financial services firms of all sizes. Its extensive features ensure the integrity of electronic communications, simplify the audit and discovery process, and help companies protect themselves against the risk and expense of lost or misplaced messages. AdvisorMail automatically captures, indexes, and archives all inbound, outbound and internal emails, attachments, IMs and Bloomberg. In addition, it also captures emails sent from mobile devices. Administrators and designated reviewers can monitor email and IM communications and search the archive quickly and easily as needed with an intuitive, web-based user interface and comprehensive suite of supervisory tools. For more information, visit www.advisormail.net or contact us 800.374.2032.

Fidessa LatentZero

Fidessa LatentZero is a leading provider of solutions to the global asset management industry. Our products are used by over 200 customers to help asset managers generate alpha, improve trading desk returns, reduce the cost of compliance management and automate the processing of OTC derivatives.

Sentinel provides comprehensive pre-, intra- and post-trade investment compliance functionality and is the pioneer in pre-trade restriction technology. Sentinel has the fastest restriction checking speed in the marketplace, covers a wide range of global regulatory rule libraries and mandates, and enables non technical users to quickly and easily create their own rules.

Smarsh

Smarsh is the managed service leader in secure, innovative and reliable email archiving solutions for compliance and records retention, proactive litigation readiness, and mail server data management. The company also offers an integrated suite of technology solutions for data-leak prevention and encryption, customer relationship management and website design and hosting.

Founded in 2001, Smarsh has built its trusted reputation by handling the sophisticated archiving and compliance needs of the financial services industry. Customizable solutions fit the needs, budgets and technological infrastructure of any business and are matched with Smarsh's unrivaled customer support and service.

Starkweather & Shepley Insurance

Starkweather & Shepley Insurance, founded in 1879, provides specialized risk coverage to the investment industry. In addition to providing Directors & Officers Liability, Errors & Omissions Liability, and ERISA/Fidelity bonds, we are a full service insurance agency which allows "one stop" shopping for all your insurance needs. This includes Business Office Package Policies, Employee Benefit Insurance, Workers Compensation and all the required coverages pertinent to financial advisors, hedge fund, mutual fund groups and Securities Broker/Dealers.

Six Telekurs

The financial crisis reminds us of the crucial role data plays in risk management: that a comprehensive view of exposure at any moment is impossible without complete, current information on securities, customers, counterparties, issuers, ratings, etc.

As firms invest in their data infrastructure, SIX Telekurs can help fill the gaps. We provide reference data and pricing for over 5.6 million global securities, adding value by linking instruments to issuers, to ratings and compliance/taxation rules. We price a wide range of securities—from exchange traded to complex/illiquid instruments. SIX Telekurs also offers PEP-Check, an online tool for evaluating customers by using public PEP and watch lists.

Please stop by at the NRS Spring Compliance Conference or visit www.six-telekurs.com.

TD AMERITRADE

TD AMERITRADE Designated Brokerage Services (DBS) provides compliance officers the best of both worlds: nightly, automated compliance reporting for you and a TD AMERITRADE brokerage account for your employees. With TD AMERITRADE DBS the days of manually monitoring printed brokerage statements are over. Trading and position reports for your employees can be securely downloaded directly from each night and imported into your compliance software provider applications.

NSCP

NSCP is the largest organization in the securities industry serving compliance professionals exclusively through education, certification (CSCP), consultation forums, regulatory advocacy and publications. Since the founding in 1987, NSCP membership has grown to include Compliance Professionals at Broker-Dealers, Investment Advisers, Bank and Insurance Firms, Law and Accounting Firms and Hedge Funds.

PNC

PNC Global Investment Servicing, a recognized leader in compliance solutions, helps firms reduce risk and increase efficiency through ClearSky, one of the most reliable, cost-effective Blue Sky compliance services available today. We also offer a streamlined Advertising Review Solution for online tracking, annotating, 17a-4 archiving of advertising materials, and direct filing to FINRA's AREF system.

iNautix

iNautix (USA) LLC is an affiliate of Pershing LLC (member FINRA, NYSE, SIPC) and a leading provider of enterprise solutions, custom technology development and business consulting to institutional and retail financial organizations and independent registered investment advisors. iNautix draws upon its financial services experience and technology expertise to help financial organizations enhance their operating performance and maximize the productivity of their investment professionals. Pershing LLC is a BNY Mellon company, and is committed to delivering dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, practice management support and service excellence. Additional information is available at www.inautix.com.

NRS

Founded in 1983, NRS offers consulting, education and technology solutions that provide compliance and registration products and services for Investment Advisers, Broker-Dealers, Hedge Funds, Investment Companies and Insurance Companies. NRS consultants register start-up firms and provide on-going compliance consulting services. Our industry-leading education program offers a full selection of online and live events to provide training opportunities and keep compliance officers and top management apprised of the latest regulatory issues. NRS technology products provide the tools and resources to automate business practices that enable quicker and more efficient compliance efforts. This three-cornered approach of consulting, education and technology provides a comprehensive suite of compliance solutions our customers rely on to create a culture of compliance for their businesses.