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Adherence LLC is a boutique firm focusing on regulatory legal and compliance issues for registered investment advisers and other asset managers, FINRA broker dealers and NFA registrants.

Founded in 2011 by Jane Shahmanesh and Saleemah Ahamed, two senior attorneys experienced in regulatory compliance and legal issues faced by the financial services industry. They created Adherence as an efficient, cost effective way to manage compliance for firms with limited personnel, expertise, resources and time.

Adherence uses only highly experienced professionals to service our clients’. Compliance work is done by expert compliance officers most of whom are lawyers. General Counsel on Demand work is staffed with former big firm partners and in-house general counsels. Operations and Finance Services uses former COO/CFOs.

While Adherence uses very experienced people to help us with day-to-day tasks, everything is reviewed by an Adherence partner who then works with our clients. There is no revolving door of people from a client experience perspective. You get ONE primary interface – even though several people on our staff may have assisted in the process.

Adherence allows you to have the benefits of experience compliance assistance at an affordable price point.

To learn more visit Adherence.com

Blue River, Part of IQ-EQ, provides a variety of outsourced solutions to hedge funds, private equity firms, registered and exempt investment advisers, registered investment companies, commodity pool operators, fund of funds, family offices, and others across the entire spectrum of structures, strategies, and asset classes.

Visit BlueRiverPartnersLLC.com or IQ-EQ.com to learn more.

Governor enables you to draw maps of the various regulatory and policy obligations and to define the objective, risks, systems, etc. that are related to that structure. For each item you can define the people in charge and the approach for assessing status. Governor then enables you to gather metrics and other data and present it to the relevant people so that they can make informed decisions.

Visit GovernorSoftware.com to learn more.

Simon Consulting is an international compliance consulting firm, specialised in SEC Compliance.

Visit SimonConsulting.com to learn more.

The Mizen Group, a Compliance Advisory and RegTech Services business, uses diagnostics and technology to quickly assess, remediate and validate all aspects of compliance programs. To surmount challenges faced in today’s regulatory environment, we have developed innovative proprietary tools that help clients conduct in-depth explorations of their compliance programs and determine gaps, inefficiencies and areas for improvement. These tools may be utilized to address regulatory obligations for financial institutions including banks, insurance companies, broker-dealers and third-party service providers.

Mizen’s diagnostic platform also provides an on-line measurement and management tool, allowing clients to more easily track and manage compliance processes, reduce complications, mitigate issues and streamline the workload related to compliance activities and regulatory challenges.

Visit TheMizenGroup.com to learn more.