COMPLIANCECHECK

Owner

Goods & Services

Analysis and consultancy relating to the provision of financial information for the asset and investment management industry, including hedge funds, financial best execution information, and transaction cost analysis for equity and foreign exchange markets, fixed income markets, advisor-sold investments

Business consulting services in the investment management industry, namely, consulting in relation to database management, marketing review and workflow management, compliance and testing management, and personal transaction monitoring provided in conjunction with the use of on-line non-downloadable software for database management, marketing review and workflow management, compliance and testing management, and personal transaction monitoring for companies in the investment management industry; Business consulting services, namely, consulting on business management aspects of regulatory compliance for companies in the investment management industry; Financial recordkeeping and business consultation in the fields of federal securities regulations and state securities regulations government, investment advisory and investment company activities

Regulatory compliance consulting for companies in the investment management industry