 |
ExhibitorsMake the connection - then build the partnership.The regulators have stated that compliance staff cannot do it alone; that they should partner with industry service providers to equip them with the tools and resources they need to build strong and effective compliance programs. Compliance professionals know this intuitively and seek out reputable partners to help them meet their compliance challenges. As an exhibitor at the NRS Fall Conference, you are afforded ample time and opportunity to make that all-important initial contact with attendees and the opportunity to build an on-going relationship of trust and comfort.
The Power of AssociationPartnering with NRS means partnering with a highly recognized industry leader. As the nation’s largest and oldest independent compliance consulting and technology firm, you will have exposure to the NRS client base and extend your reach into the industry.
SponsorsVarious attractive sponsorship opportunities are available to exhibitors and others to enhance and highlight their involvement in, and support of, this industry-leading educational event. You can further showcase your firm by sponsoring the conference bag, the workbook, receptions and breaks or by securing a bag insert. For more information download the Exhibitor/Sponsor PDF and to discuss the best options for you, please contact your Account Executive at +1 860 435 0200.
Information |
 |
Accuity
Accuity is the world leader in compliance solutions that provide a first line of defense against participation in illicit financial activities such as money laundering and terrorist financing. In order to ensure that the funds managed by your institution are not derived from corrupt sources, you need solutions for this aspect of compliance that can help you properly monitor and mitigate the risk of doing business with sanctioned and other high-risk entities. For more information on Accuity and our solutions for AML click here and visit us at the NRS Fall conference vendor fair.
BNY Mellon
BNY Mellon, 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 on-line tracking, annotating,
17a-4 archiving of advertising materials, and direct filing to FINRA's AREF system.
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.
Schwab Designated Brokerage Services
Schwab Designated Brokerage Services, a segment of Charles Schwab & Co., Inc. (Member SIPC), the registered broker-dealer, is committed to meeting the high standards that corporate compliance departments expect. With more than 15 years of experience and a roster of over 400 corporate clients, we are a market leader in providing employee trade surveillance technology to financial firms. We offer comprehensive, cost-saving solutions that can reduce the manual processes and mitigate the risk associated with companies monitoring employee securities trading. Our trade surveillance technology solutions include Trade Rules, a ground-breaking web-based application that can proactively block restricted trades that are not compliant with your firm's employee trade monitoring policy. Plus, with Schwab, your employees have access to a full suite of investment products and services to help them achieve their financial goals.
Gryphon Networks
Gryphon Networks is the leading provider of on-demand contact governance solutions. Gryphon’s centralized service provides compliance management tools to all company representatives, from marketing professionals to sales agents to third party vendors. By certifying contacts in real time across all channels, Gryphon guarantees 100% compliance with Do Not Contact federal and state regulatory rules, including call curfews, holiday solicitation bans and wireless restrictions. Gryphon’s mission is to ensure the cross-organizational observance of customer preferences while preventing the over-zealous suppression of valuable lists. Established in 1999 and headquartered in Norwood, Massachusetts, Gryphon Networks counts the world's top brokerage firms, financial services experts and insurance institutions among a host of satisfied clients.
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.
Smarsh
Smarsh® provides hosted solutions for archiving electronic communications, including email, IM and social media platforms such as 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 and mitigate risk. Smarsh also offers integrated modules within its email archiving suite for classification and policy management, data-leak prevention and encryption. The SaaS (software as a service) delivery model enables clients to eliminate IT infrastructure costs and minimize operating burden, while benefiting from Smarsh expertise in hosting large volumes of mission-critical client data.
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.
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.
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.
Pershing
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.
