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Exhibitors
Booth #101
8of9 transforms complex financial regulations into sustainable RegTech solutions. As tech-savvy J.D.s, with experience consulting in the world’s largest financial institutions, we use our regulatory and IT knowledge to create products that provide clear outcomes and sustainable results, tied back to the original source law.
Contact: Mary Kopczynski, CEO & Founder, 8of9, 1115 Broadway, New York, NY 10010 | 917.261.3901 | [email protected] | www.8of9.nyc Learn more about 8of9 (PDF)
Booth #200
ACA Compliance Group (“ACA”) is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cybersecurity. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks inherent in their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. Our products include standard and customized compliance packages; cybersecurity, AML, and risk assessments; GIPS® verifications and other performance services; and a wide variety of business advisory and technology solutions for financial services firms.
Contact: Dee Stafford, Managing Director, ACA Compliance Group, 1370 Broadway, 12th Floor, New York, NY 10018 | 561.628.5288 | [email protected] | www.acacompliancegroup.com Learn more about ACA Compliance Group (PDF)
Booth #300
Accenture is a leading global professional services company, providing a broad range of services and solutions in strategy, consulting, digital, technology and operations. Combining unmatched experience and specialized skills across more than 40 industries and all business functions—underpinned by the world’s largest delivery network—Accenture works at the intersection of business and technology to help clients improve their performance and create sustainable value for their stakeholders. With more than 435,000 people serving clients in more than 120 countries, Accenture drives innovation to improve the way the world works and lives.
Contact: Samantha Regan, Managing Accenture, Accenture Finance & Risk Regulatory & Compliance | 917.452.4400 | www.accenture.com
Booth #505
Actiance is the leader in communications compliance, archiving, and analytics. We provide compliance across the broadest set of communications channels with insights on what’s being captured. Actiance customers manage over 500 million daily conversations across 70 channels and growing. Customers include the top 10 U.S., top 8 European, top 5 Canadian, and top 3 Asian banks. The Actiance advantage is customers stay ahead of compliance and uncover patterns and relationships hidden within their data.
Contact: Nuala Coogan, Senior Marketing Associate, Actiance, Inc., 1400 Seaport Blvd., Redwood City, CA 94063 | 650.631.6355 | [email protected] | www.actiance.com Learn more about Actiance, Inc. (PDF)
Booth #802
AxiomSL combines deep industry expertise with an intelligent data management platform to deliver regulatory reporting, liquidity, capital & credit, operations, trade & transactions and tax analytics. Our global footprint spans 70 regulators across 50 jurisdictions, surveilling more than 2,000 regulatory filings. We currently serve national, regional and global financial institutions with more than $39 Trillion in Total Assets. AxiomSL’s integrated platform minimizes end-user applications and manual processes, reduces time to market costs, leverages existing data, increases transparency and control while ensuring accurate and timely regulatory calculations and reporting. Sample solutions include FOCUS, US Treasury – TIC, Net Capital computations (SEC Rule 15c3-1), Customer Reserve computations (SEC Rule 15c3-3), Global Shareholding Disclosures and more.
Contact: AxiomSL, 45 Broadway, New York, NY 10006 | www.axiomsl.com Learn more about AxiomSL (PDF)
Booth #701
Bates Group has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Voted a Best Securities Litigation Consulting Firm in by readers of the New York Law Journal and a 2017 NYLJ Hall of Fame service provider, Bates Group provides end-to-end solutions throughout the lifecycle of your legal, regulatory, and compliance matters. With a roster of over 125 financial industry and regulatory experts, Bates offers services in litigation consultation and testimony, regulatory and internal investigations, enforcement matters, AML solutions and staffing, compliance solutions, forensic accounting, fraud and financial crimes investigations, damages and big data consulting. Bates is also proud to offer Arbitrator Evaluator™, a brand-new generation of intelligent analytics for identifying and selecting the best arbitrators for your customer and intra-industry matters.
Contact: Bates Group, 5005 SW Meadows Road, Suite 300, Lake Oswego, OR 97035 | 503.670.7772 | [email protected] | www.batesgroup.com
Booth #501
Compliance Solutions’ employee-monitoring offer includes Schwab Designated Brokerage Services, Schwab Compliance Technologies®, and a wide range of financial products and services for employees. These solutions can help you proactively manage compliance, promote a positive employee experience, build long-term value across your business, and instill trust with clients.
Contact: Richard Soares, Sr. Relationship Manager, 1133 Avenue of the Americas, New York, NY 10036 | 212.403.9247 | [email protected] | www.corporateservices.schwab.com/public/corporate/employee-monitoring Learn more about Charles Schwab & Co., Inc. (PDF)
Booth #704
Exari delivers the most complete Enterprise Contract Lifecycle Management platform, used every day by market-leading companies to understand all aspects of their contract ecosystem worldwide. With Exari, customers can reduce contract risk and improve operating efficiency with 100% Contract Certainty™. www.exari.com.
Contact: Sandy Ryan, Business Development Executive, Exari Systems, 745 Boylston Street, Boston, MA 02116 | 617.938.3777 | [email protected] | www.exari.com
Learn more about Exari (PDF)
Booth #602
Exiger is a global regulatory and financial crime, risk and compliance company. Exiger arms financial institutions, multinational corporations and governmental agencies with the practical advice and technology solutions they need to prevent compliance breaches, respond to risk, remediate major issues and monitor ongoing business activities. Exiger works with clients worldwide to assist them in effectively managing their critical challenges while developing and implementing the policies, procedures and programs needed to create a sustainable compliance environment. A global authority on regulatory compliance, the company also oversees some of the world's most complex court-appointed and voluntary monitorships in the private and public sectors, including the monitorship of HSBC. Exiger has four principal business units being: Exiger Advisory; Exiger Diligence; Exiger Government Services; and Exiger Tech, including AI-based automated due diligence solutions DDIQ and Insight 3PM. Exiger operates through offices in New York City, Silver Spring (DC Metro), Miami, Toronto, Vancouver, London, Hong Kong, and Singapore.
Contact: Brandon Douglas, President, Exiger Tech, Global Head, Analytics, Exiger | 212.455.9400 | [email protected] | www.exiger.com Learn more about Exiger (PDF)
Booth #202
EY is a global leader in assurance, tax, transaction and advisory services. We develop outstanding
leaders who team to deliver on our promises to all of our stakeholders. In so doing, we play a critical role
in building a better working world for our people, for our clients and for our communities. Our Financial
Services Risk Management team, covering major financial centers worldwide, is arguably the deepest,
largest risk and regulatory skills pool in the market. We have worked closely with our clients to address
tactical and strategic change initiatives that include changing business models and capabilities in
response to regulatory expectations, assisting with integrated service delivery across risk, compliance
and other functions, and improving risk management capabilities while driving operational efficiency. Our
Fraud Investigation and Dispute Services professionals bring a multidisciplinary team to work with you
and your legal advisors to address complex issues of fraud, regulatory compliance and business
disputes. Our professionals bring the analytical skills needed to conduct financial and other investigations,
and gather and analyze electronic evidence. We work to give you the benefit of our broad sector
experience, our deep subject matter knowledge and the latest insights from our work worldwide.
Contact: Michael Patterson, Principal, EY, 5 Times Square, New York, NY 10036 / 212.773.2824 /
[email protected], Nancy Reich, Executive Director, EY, 5 Times Square, New York, NY
10036 / 212.773.0300 / [email protected], Brad Massam, Principal, EY, 5 Times Square, New York,
NY 10036 / 212.773.5620 / [email protected] or Kevin Tanaka, Partner, EY, 5 Times Square,
New York, NY 10036 / 212.773.0532 / [email protected] / www.ey.com
Learn more about EY (PDF)
Booth #604
Fidelity Designated Brokerage Services (DBS) is a designated brokerage support service that’s part of Fidelity Investments. We can help you effectively oversee your employees’ investment and trading activities while, at the same time, working with you to drive more efficiency in your compliance function. Additionally, your employees have access to award-winning products, holistic guidance, exceptional service, and unparalleled value Fidelity offers every customer.
Contact: Kevin McCann, Fidelity Investments | 720.356.6806 | [email protected] | www.fidelity.com/designatedbrokerage Learn more about Fidelity (PDF)
Booth #303
FIS is a global leader in financial services technology, with a focus on retail and institutional banking, payments, asset and wealth management, risk and compliance, consulting and outsourcing solutions. Through the depth and breadth of our solutions portfolio, global capabilities and domain expertise, FIS serves more than 20,000 clients in over 130 countries. Headquartered in Jacksonville, Fla., FIS employs more than 55,000 people worldwide and holds leadership positions in payment processing, financial software and banking solutions. Providing software, services and outsourcing of the technology that empowers the financial world, FIS is a Fortune 500 company and is a member of Standard & Poor’s 500® Index. For more information about FIS, visit www.fisglobal.com
Contact: Joe Diangelo, SVP, Risk & Compliance, FIS, 601 Riverside Ave., Jacksonville, FL 32204 | 201.840.5658 | [email protected] | www.fisglobal.com
Booth #700
FITS Consulting, is a leading professional consulting firm, specializing in the financial services industry. Leveraging our experience, innovative thinking and service excellence, FITS delivers business value to our clients and the industry. Our industry practices span Capital Markets, Banking, Insurance, Wealth and Investment Management. Within our practice areas we focus on solutions ranging from: Strategy, Platform Conversion, Program Delivery, Risk and Regulatory, Compliance, Technology, Managed Services, and Credit Lending. FITS offers alternative solutions to the rising demands and costs of regulatory compliance. Our professionals provide comprehensive expertise and support which enables clients to react proactively to economic, market, and regulatory changes. Long-term client relationships are achieved through proven solutions driving business value using a broad range of core services and expertise. FITS consultants stand ready to navigate clients through the complex challenges faced in today’s industry.
Contact: Henry Lange, President & CEO, FITS Consulting, 400 Morris Ave, Suite 264, Denville, NJ 07834 | 973.586.8877 | [email protected] | Jeffrey Powers, Senior Vice President, FITS Consulting, 400 Morris Ave, Suite 264, Denville, NJ 07834 | [email protected] | www.fitsconsulting.com Learn more about FITS Consulting (PDF)
Booth #402
The Florida Securities Dealers Association (FSDA) is committed to achieving fair and balanced regulation and legislation of the securities industry in Florida, as well as providing community outreach through financial literacy educational seminars. Its members represent a wide cross-section of the industry, including national and regional broker-dealers, independent broker-dealers, investment advisors, mutual funds, insurance companies, law firms, consulting firms, and other service providers. The FSDA is unique in that it is the oldest and largest state securities association in the country, having operated continuously since 1933. The FSDA has, for many years, maintained positive working relationships with regulators and key legislators and communicates effectively with respect to pending regulatory and legislative developments. The FSDA is governed by its Board of Governors, comprised entirely of volunteers from member firms who contribute significant time and effort to achieve the FSDA’s objectives and lobbies to assist in monitoring and responding to proposed regulatory and legislative changes and to advocate on the Association's behalf.
Contact: Marie Silvani, Administrator, FSDA, 6671 W. Indiantown Road, #50-194, Jupiter, FL 33458 | 561.371.4517 | [email protected] | www.floridasecurities.com
Learn more about Florida Securities Dealers Association (PDF)
Booth #405
Global Relay is the leading provider of cloud archiving, supervision, and eDiscovery solutions for the global financial sector. Global Relay delivers services to more than 23,000 customers in 90 countries. Global Relay Archive supports email, IM, mobile messaging, Bloomberg®, Thomson Reuters, social media, voice, and more — with mobile, Outlook and web access. Contact: Anthony Crespy, Account Director, Global Relay Communications Inc., 286 Madison Ave., 7th Floor, New York, NY 10017 | 866.484.6630 | [email protected] | www.globalrelay.com Learn more about Global Relay Communications, Inc. (PDF)
Booth #703
Hearsay Systems offers leading Advisor Cloud solutions for financial services, empowering advisors to efficiently and compliantly use social media, websites, text and email to engage with customers, build stronger relationships and grow their business. Its prescriptive technology processes and prioritizes data from across digital channels and data systems, providing actionable suggestions for advisors on how they should engage with customers next. Built for the enterprise, Hearsay connects these advisor-client interactions and data to corporate CRM systems and digital marketing programs, and provides efficient compliance supervision and review workflows – all on a secure, enterprise-ready platform.
Contact: Chris Mills, VP of Marketing, Hearsay Systems, 185 Berry Street, San Francisco, CA 94107 | 415.692.6230 | [email protected] | www.hearsaysystems.com Learn more about Hearsay Systems (PDF)
Booth #301
In its two-decade history of excellence, IMS ExpertServices has provided hundreds of securities and finance experts in support of high-stakes litigation. We believe that registries and databases fall short of capturing the nuance and intricacies required of experts in financial litigation. We deliver the best experts in the world, not the best experts in a directory. Litigation is full of surprises. The value of having IMS ExpertServices as a partner is that we are never surprised. A full research, recruiting, and project support team ensures that little issues don’t become big issues and everyone involved is well-informed and positioned for the best outcome. In short, we deliver experts who position you for the win. Connect with us today.
Contact: James Crane, VP, IMS ExpertServices, 4400 Bayou Blvd., Suite 6, Pensacola, FL 32503 | 877.934.4880 | [email protected] | www.ims-expertservices.com
Learn more about IMS ExpertServices (PDF)
Booth #403
Intapp is the leading independent software provider to the legal industry, working with a majority of large law firms around the world, including all of the Magic Circle and 70 of the UK Top 100. The established leader in client acceptance, Intapp is introducing innovation in client development, with new solutions for business development and marketing focused on experience management, as well as pricing and planning.
Contact: Michelle Inferri-Tauss, Managing Director, Intapp | [email protected] | Mike Marubio, VP Product Marketing | [email protected] | www.intapp.com
Booth #603
Integreon is a trusted, global provider of award-winning legal, document, business and research support solutions to leading law firms, legal departments, financial institutions and professional services firms. We apply a highly trained, experienced staff of 2,400 associates globally to a wide range of problems that require scale and expertise, enabling clients to become more operationally efficient by streamlining operations, maximizing investment and improving the quality of work they provide their end clients. With delivery centers on four continents, Integreon offers multi-lingual, around-the-clock support, as well as, onshore, offshore and onsite delivery of our award-winning services. For more information about Integreon’s extensive range of services, visit www.Integreon.com.
Contact: Robert Daniel, Senior Director, Financial Services Practice, Integreon, 1450 Broadway, Suite 1100, New York, NY 10018 | 212.476.7953 | [email protected] | www.integreon.com Learn more about Integreon (PDF)
Booth #400
Intelligize is the leading provider of best-in-class content, exclusive news collections, regulatory insights, and powerful analytical tools for compliance and transactional professionals. Intelligize offers a web-based research platform that ensures law firms, accounting firms, corporations and other organizations
stay compliant with government regulations, build stronger deals and agreements, and deliver value to their shareholders and clients. Headquartered in the Washington, DC metro area, Intelligize serves Fortune 500 companies, including Starbucks, IBM, Microsoft, Verizon and Walmart, as well as many of the top global law and accounting firms. In 2016, Intelligize became a wholly-owned subsidiary of LexisNexis®, a leading global provider of content-enabled workflow solutions designed specifically for professionals in the legal, risk management, corporate, government, law enforcement, accounting and academic markets. Contact: Intelligize, 1920 Association Drive, Suite 200, Reston, VA 20191 | 888.925.8627 | www.intelligize.com Learn more about Intelligize (PDF)
Booth #500
King & Spalding’s Securities Enforcement and Regulation lawyers regularly counsel global banks, broker-dealers, asset managers and pension funds, as well as accountants, attorneys and other active advisors within the financial services industry, across the spectrum of compliance, regulatory and enforcement matters they face. We have deep experience with matters before the SEC, FINRA, CFTC, DOJ and other federal, state, and international and self-regulatory enforcement organizations. The group calls upon the talents of more than 40 former federal prosecutors and senior officials from the SEC and other regulatory and enforcement agencies. King & Spalding’s Business & Securities Litigation lawyers regularly defend financial institutions, investment banks and corporate executives involved in high stakes matters. We have handled numerous commercial disputes and shareholder litigations filed throughout the country and have a proven track record of successful results—both at the motion to dismiss stage and, if necessary, all the way through trial.
Contact: Jac Calabro, Business Development Manager, King & Spalding LLP, 1185 Avenue of the Americas, New York, NY 10036 | 212.556.2250 | [email protected] | www.kslaw.com Learn more about King & Spalding LLP (PDF)
Booth #600
Law360, a LexisNexis company, is a one-stop source for legal news and in-depth analysis, with up-to-the-minute coverage of litigation, regulation and enforcement, legislation, executive orders, administrative hearings, corporate deal-making, and more across dozens of practice areas, industries, and jurisdictions. With a unique blend of cutting-edge technology and journalistic expertise, Law360 delivers the intelligence legal and business professionals need to remain experts and get ahead of the curve. Contact: Dustin Langner, Fortune 1000 Sales Manager, Law360 | 646.783.7104 | [email protected] | www.law360.com
Learn more about Law360 (PDF)
Booth #201
We are a global infrastructure software company, committed to enabling customers to both embrace the latest technologies and maximize the value of their current IT investments. We believe organizations don’t need to eliminate the past to make way for the future. Everything we do is based on a simple idea: the fastest way to get results from new technology is to build on what you have–in essence, bridging the old and the new–to meet increasingly complex business demands. Our promise to customers is that they will be in the best position to navigate the challenges of business and IT change. To deliver customer success, we invest in product innovation and acquisition, supported by people and services. So, from Cloud to mobile, from the datacenter to the Internet of Things, our solutions enable customers to innovate faster with less risk, embrace new business models, seize market opportunities, and derive competitive advantage.
Contact: Hollie Davis, Marketing Program Manager, Micro Focus, 1140 Enterprise Way, Sunnyvale, CA 94089 | 801.372.4008 | [email protected] | www.microfocus.com Learn more about Micro Focus (PDF)
Booth #705
MCO provides Conflict of Interest (COI) compliance automation that helps firms meet their regulatory obligations, efficiently and economically. Trusted by financial institutions of all sizes across the globe, our solution employs state-of-the-art SaaS technology and supports today’s security protocols. The MyComplianceOffice platform is organized into affordable modules that cover third party due diligence, employee code of conduct and trade surveillance. Its modular components and central data repository make it easy to purchase and implement only what is needed to reduce the risk of non-compliance and the associated costs. Our singular focus on COI compliance allows us to deliver unparalleled quality software and customer service.
Contact: MyComplianceOffice, 535 Fifth Avenue, Floor 4, New York, NY 10017 | 866.951.2279 | [email protected] | www.mycomplianceoffice.com Learn more about MyComplianceOffice (PDF)
Booth #203
n-Tier Financial Services is a regulatory focused data validation company that helps firms automate the validation processes required to ensure the ongoing accuracy and completeness of their regulatory reporting submissions. We provide clients with a state-of-the-art data validation platform coupled with deep regulatory knowledge and expertise built-up through years of working on regulatory data validation and remediation programs across different investment banking and brokerage firms. Used by some of the most well-known firms in the industry, our Compliance Workbench platform provides clients with a sustainable process which focuses on 100% validation and auto-correction of each regulatory report. Our cutting-edge software provides automated monitoring capability for regulatory reporting across even the most complex infrastructures, and enables firms to quickly identify and correct reporting issues. With unique in-depth experience in reporting requirements such as Blue Sheets, OATS, CAT, LOPR and AML, we provide clients a flexible solution which can be implemented quickly and centralizes the validation process across different regulatory reporting requirements.
Contact: Jeff Bergson, EVP, n-Tier Financial Services, 575 Madison Avenue, 10th Floor, New York, NY 10022 | 212.605.0259 | [email protected] | www.ntierfs.com
Learn more about n-Tier Financial Services (PDF)
Booth #605
NICE Actimize is the largest and broadest provider of financial crime, risk and compliance solutions for regional and global financial institutions, as well as government regulators. Consistently ranked as number one in the space, NICE Actimize experts apply innovative technology to protect institutions and safeguard consumers and investors assets by identifying financial crime, preventing fraud and providing regulatory compliance. The company provides real-time, cross-channel fraud prevention, anti-money laundering detection, and trading surveillance solutions that address such concerns as payment fraud, cybercrime, sanctions monitoring, market abuse, customer due diligence and insider trading.
Contact: NICE Actimize, 221 Hoboken, 10th Fl, Hoboken, NJ 94030 | www.niceactimize.com Learn more about NICE Actimize (PDF)
Booth #502
For more than 160 years, PwC has been committed to one goal – helping our clients thrive. With more than 236,000 employees and offices in 158 countries, we help global organizations and individuals alike create value in the world, by delivering quality audit, assurance, tax and advisory services. PwC’s Financial Services practice helps companies address regulatory reform, financial reporting requirements, implementation of cost effective technologies, talent acquisition and increasing demands from stakeholders. Our professionals assist with many of today's largest, most challenging issues impacting asset and wealth management, banking and capital markets and insurance. As one of the leading professional services networks in the world, our reputation lies in building lasting relationships with our clients and delivering value in all we do.
Contact: Julien Courbe, Financial Services Advisory Leader, PwC, 300 Madison Ave., New York, NY 10017 | 646.471.3000 | [email protected] | www.pwc.com/financialservices Learn more about PwC (PDF)
Booth #404
QuisLex is an award-winning legal services provider that specializes in managed document review, contract management, compliance services, legal spend management, and legal operations consulting. We employ operational excellence, Six Sigma based quality processes and ISO certified data security to support large-scale, complex legal projects for companies and law firms. Our full-time highly trained attorneys, process experts, statisticians and linguists work closely with our clients to help reduce cost, mitigate risk and maximize efficiency. QuisLex is regularly acknowledged as a leader in the legal services industry, and is proud to be recognized by Chambers and Partners as a Band 1 Legal Process Outsourcing Provider, New York Law Journal as a Top Managed Document Review Services Provider, and the IACCM as its Outstanding Service Provider for contract management solutions.
Contact: Ram Vasudevan, CEO, QuisLex, 200 Liberty Street, New York, NY 10281 | 646.887.3900 | [email protected] | www.quislex.com Learn more about QuisLex (PDF)
Booth #601
RegEd, Inc. is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.
Contact: Ann Robinson, Senior Vice President, Business Development, RegEd, Inc., 2100 Gateway Centre Blvd., Suite #200, Morrisville, NC 27560 | 1.800.334.8322 | [email protected] | www.reged.com Learn more about RegEd, Inc. (PDF)
Booth #102
Renaissance Regulatory Services, Inc. (RRS) provides comprehensive compliance consulting and support services to broker-dealers, investment advisers, investment companies, hedge funds and registered private fund managers. Specializing in SEC and FINRA compliance audits, written supervisory procedures and internal controls, RRS provides the experience and insight to meet all your compliance needs. Our services are customized to fit your firm’s operations and in most cases, are performed on site. RRS’ staff and partners are former regulators from the SEC, FINRA/NASD and state regulatory agencies, as well as compliance professionals with extensive hands-on experience with SEC, FINRA, and state rules and regulations. RRS is founded on the premise that the financial services industry is constantly changing. In order to “Manage Through Change,” firms must have the ability to quickly recognize and respond to the compliance and operational challenges that arise. The RRS team can support your firm’s mission by providing comprehensive compliance solutions.
Contact: Louis Dempsey, President, Renaissance Regulatory Services, Inc., 1515 South Federal Highway, Suite 306, Boca Raton, FL 33432 | 561.368.2245 | [email protected] | www.rrscompliance.com
Booth #800
Sia Partners is a leading global strategic and operational management consultancy and a pioneer of
Consulting 4.0 with over 1,000 consultants spread out across 20 offices around the world. Sia Partners
operates within eleven industry sectors, including: Financial Services, Insurance, Energy, Healthcare,
Government, Manufacturing and Telecommunications & Media, among others. Our innovative approach
has led us to welcome the disruption through AI and invest in our Data Science field and automation
capabilities. Sia Partners US is the coordinating entity for the Americas engaged primarily by major
Financial Services, Technology and Energy clients operating in New York, Charlotte, San Francisco,
Chicago, Boston, Houston and Montreal, Canada. Sia Partners champions high-quality customized client
service with its experienced consultants and subject matter experts playing hands-on roles. Our range of
services includes a specialty in Strategic Advisory, Automation through RPA & AI, Regulatory &
Compliance, Energy, Finance, Accounting, Operational & Market Risk Management and the Governance
& Control Environment. Sia Partners US has a strong project management and business analysis
practice, enabling us to provide our clients with the know-how, technical expertise and delivery. In
addition, our consultants are well known for their skill sets in transaction-based services, regulatory
compliance initiatives, addressing data quality issues and streamlining/enhancing front-to-back
processes.
Contact: Daniel H. Connor, CEO US, Sia Partners, 40 Rector Street, Suite 1111, New York, NY 10006 | 862.596.0649 | [email protected] | Christopher Pearson, Senior Manager, Sia Partners, 40 Rector Street, Suite 1111, New York, NY 10006 | 917.969.8457 | [email protected] | www.sia-partners.com/locations/us Learn more about Sia Partners (PDF)
SIFMA is the voice of the U.S. securities industry. We represent the broker-dealers, banks and asset managers whose nearly 1 million employees provide access to the capital markets, raising over $2.5 trillion for businesses and municipalities in the U.S., serving clients with over $20 trillion in assets and managing more than $67 trillion in assets for individual and institutional clients including mutual funds and retirement plans. We serve our members as the principal advocate before policymakers, regulators, the media and the public on all matters involving the retail and institutional capital markets. We are the go-to resource for expert information about the capital markets and a forum for industry policy and professional development. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA).
Contact: SIFMA Office of Member Engagement, 120 Broadway, New York, NY 10271 | 212.313.1150 | [email protected] | www.sifma.org
Booth #503
Smarsh® delivers a comprehensive and integrated stack of cloud-based information archiving applications and services that help companies protect themselves and manage risk. Its centralized platform provides a unified compliance and e-discovery workflow across the entire range of digital communications, including email, public and enterprise social media, websites, instant messaging and mobile messaging. Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory
compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Oregon, with offices in New York City, Boston, Los Angeles and London.
Contact: Rahul Rahman, Enterprise Business Development Executive, Smarsh, Inc., 851 SW 6th Ave., Suite 800, Portland, OR 97204 | 646.247.8003 | [email protected] | www.smarsh.com Learn more about Smarsh, Inc. (PDF)
Booth #504
Enhance how you monitor your employees’ personal trading with TD Ameritrade Designated Brokerage
Services. Our consultative, best practices approach combines leading edge technology with highly
experienced, dedicated service teams to help you manage risk while providing the ultimate employee
experience. Discover the value our platform can provide with complementary compliance services and
tools for you and exclusive benefits – including discounted pricing – for your employees. To learn more
about the TD Ameritrade difference and how we can help you manage your firm’s specific compliance
reporting requirements, contact us at tdameritrade.com/ designatedbrokerage
TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and
The Toronto-Dominion Bank. Used with permission.
Contact: TD Ameritrade, 200 S 108th Avenue, Omaha, NE 68154 | 888.376.4682 | www.tdameritrade.com/designatedbrokerage Learn more about TD Ameritrade (PDF)
Booth #401
Veritone® Legal is a leading artificial intelligence platform that renders every second and frame of audio
and video content searchable for things like faces, phrases, sentiment, and voice identification. With
Veritone Legal, compliance and eDiscovery professionals can cost-effectively manage and analyze large
amounts of unstructured media in near real-time. Watch, monitor and act on critical files with continuous
media monitoring, synchronized playback, automated transcription, content redaction, language
translation, and sharing capabilities.
Contact: Veritone Legal, 575 Anton Blvd., Suite 900, Costa Mesa, CA 92626 | www.veritone.com Learn more about Veritone Legal (PDF)
Booth #103
ZL Technologies provides solutions for SEC Compliance, GDPR, eDiscovery, records, analytics, and files management on a single unified platform. ZL's architecture manages billions of documents from all applications under one system, thus bridging across today's fractured data silos and complying with enterprise-wide regulations, such as GDPR. ZL's customers include the largest banks and financial institutions in the world. For more information, please visit www.zlti.com. See how ZL helped a top US bank achieve compliance on a massive scale
Contact: Grace Mittelstaedt, 860 N. McCarthy Blvd., Suite 100, Milpitas, CA 95035 | 408.240.8989 | [email protected] | www.zlti.com Learn more about ZL Technologies, Inc. (PDF)