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Vendor Selection + Management
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Marketing Material Review Consulting
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Fund Officer Services
Legal Underwriting + Placement Agent Services
Private Label Broker-Dealer Offering
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Vendor Selection + Management
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Asset Manager
Bank/TPA
Broker-Dealer
Commodity Pool Operator
ETF Sponsor
Mutual Fund
Non-U.S. Asset Managers
Non-U.S. Broker-Dealers
Private Fund (including hedge funds, private equity funds)
Registered Investment Advisor
Third-Party Marketer

Solution By Product

Compliance Consulting Solutions

Broker-Dealer Consulting
Broker-Dealer + Investment Advisor Registration
FINOP + Accounting Services
FINRA + SEC Examinations
Investment Advisor Consulting
Marketing Material Review Consulting
NFA Consulting
Vendor Selection + Management
Website Services

Distribution Solutions

Broker-Dealer Chaperoning
Capital Connections
DTCC/NSCC Fund Sponsorship
Legal Underwriting + Placement Agent Services
Marketing Material Review Consulting
Private Label Broker-Dealer Offering
Registered Representative Licensing
Technology Solutions

Registered Fund Solutions

Capital Connections
ETF Solutions
Fund Officer Services
Legal Underwriting + Placement Agent Services
Private Label Broker-Dealer Offering
Registered Representative Licensing
Vendor Selection + Management
Website Services

Solution By Entity

Asset Manager
Bank/TPA
Broker-Dealer
Commodity Pool Operator
ETF Sponsor
Mutual Fund
Non-U.S. Asset Managers
Non-U.S. Broker-Dealers
Private Fund (including hedge funds, private equity funds)
Registered Investment Advisor
Third-Party Marketer

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