Vendor Directory
Explore compliance framework and regulatory risk management solutions.
TPA Global
Navigating Tax Complexity with Digital Precision
TPA Global supports multinational businesses with complex tax requirements across over 60 countries. They provide comprehensive tax solutions that encompass transfer pricing documentation, risk assessments, audit defense, and value chain analysis. Their services aim to streamline and automate compliance processes through their 100% Certified Digital approach. TPA Global is committed to providing tailored support, ensuring companies meet regulatory demands while managing risks effectively. With a robust global network, they guide clients through digital transformation in tax technology, helping teams select appropriate software solutions and create effective strategies.
Oxbow Partners
Navigating Insurance's Future with Insightful Strategy
Oxbow Partners is a consulting firm specializing in the insurance industry. They provide management teams with insights and strategic support tailored to the insurance ecosystem. Their services include assisting executive teams in identifying profitable growth opportunities, implementing digital strategies, and developing operational roadmaps. They leverage proprietary tools like the Magellan Insurance Technology Navigator, which details over 4,000 technology vendors, and their UK Motor Market Model. Oxbow Partners supports clients in a wide range of strategic initiatives, including M&A assessments, technology alignment, and sustainability strategies.
SEC Compliance Solutions LLC
Navigate Compliance with Confidence and Clarity
SEC Compliance Solutions LLC provides compliance consulting and resources for registered investment advisers (RIAs). The site states the firm helps RIAs "streamline SEC compliance," and lists services including new advisor setup, SEC mock exams, and reviews to support regulatory readiness. They publish a compliance resource center, complimentary articles, an eBook on the new marketing rule, and a compliance calendar of regulatory deadlines with monthly email reminders for subscribers. Content also addresses policy considerations such as developing policies and procedures for generative AI use, focusing on cybersecurity, misinformation risk, client data protection, and SEC exam priorities. Contact details and a mailing address are published on the site.
Matter
Invest Wisely with Precision ESG Insights
Matter provides granular ESG data and insights that help asset managers and owners strengthen their investments while navigating sustainable finance regulations. The platform enables users to set inclusion or exclusion thresholds based on sustainability metrics such as SDG alignment and emissions intensity. Matter's solutions include SFDR Principal Adverse Impacts data, facilitating compliance with EU regulations, and portfolio analysis tools that automate ESG reporting. Their comprehensive datasets support the construction of Article 8 and 9 funds under SFDR and allow for systematic engagement strategies with investees. By operationalizing SDGs, Matter equips stakeholders with measurable and defensible frameworks for sustainable investment decisions.
Finspector
Navigate Compliance with Confidence and Precision
Finspector AI offers a comprehensive financial marketing compliance software designed to automate reviews and monitor content for financial promotions. Utilizing AI, the tool inspects promotions for compliance risks, ensuring alignment with FCA regulations. It allows users to check the post history of various social media platforms, providing suggestions, notifications, and assignment tracking. This ensures that financial promotions are compliant while maintaining a clean and efficient user interface. With the significant increase in FCA interventions, Finspector provides invaluable support for businesses in managing their compliance needs effectively.
AdvisX
Navigating Compliance with Precision and Insight
AdvisX specializes in risk management and compliance services tailored for financial institutions. With a rich history of integrating real-world compliance experience with technological innovation, AdvisX helps clients manage regulatory risk effectively. The team is composed of highly skilled professionals, dedicated to delivering value and efficiency, thus enabling clients to focus on their core business activities. AdvisX's service offerings include consulting aimed at optimizing compliance processes while minimizing associated costs, ensuring that institutions can protect their bottom line amid evolving regulatory environments.
Prima Consulting
Navigating Risks, Shaping Financial Futures
Prima Consulting is a professional consultancy offering governance, risk, and compliance (GRC) services alongside actuarial, IFRS, and financial reporting advisory across Saudi Arabia, the UAE, and Pakistan. The firm lists actuarial capabilities (pension valuations, insurance reserving, appointed actuary services, technical reserves valuations), IFRS support including IFRS 17, and reinsurance assessments. It also provides internal audit and consulting covering Sox 404, COSO, and ICFR, enterprise risk management and governance framework development, management consulting (FP&A, business process management, virtual CxO services), insurance data analytics, and training programs. The record emphasizes regional MENA expertise and notes over 50 years of combined team experience.
RADD LLC
Navigating Compliance with Fintech Precision
RADD LLC positions itself as a fintech compliance consulting firm serving banks, credit unions, and fintechs. The team claims over 250 years of combined experience and offers fintech compliance services including BaaS platform testing and compliance for SaaS. Service packages described include Discovery and Assessment, Operational Compliance Program Build-out, Examination Preparation and Facilitation, Due Diligence Package development, and Ongoing Compliance Support. RADD also lists Internal Audit Services and sponsor bank compliance service packages. Services are customizable and the site invites prospects to call for a free consultation at +1 (833) RADD-LLC. The content focuses on consulting and audit-readiness support rather than a software product.
ABM Global Compliance
Navigating Compliance Across Borders Seamlessly
ABM Global Compliance (UK) Limited is a specialist consultancy providing cross-jurisdictional regulatory compliance, licensing, and advisory services to banking, financial services and capital markets institutions. Affiliated with ABM Consulting Group PLC (UK), the firm helps clients obtain FCA and e‑money licences and delivers legally robust, jurisdiction-specific compliance solutions. ABM Global offers guidance and operational support in AML and CTF measures including Know Your Customer (KYC) and ongoing monitoring, conducts audits, and provides training and regulatory support. Their expertise spans UK regulations and international standards such as MiFID II, Market Abuse Regulation, Prospectus Regulation, FATF Recommendations and BCBS principles to help institutions meet supervisory expectations and legal obligations.
Grant Thornton Baltic - Latvia
Navigating Compliance with Precision and Care
Grant Thornton Baltic SIA (branded Grant Thornton Latvia) is presented as a provider of audit, accounting, tax, legal and financial consulting services. The record explicitly references a "DPO as a service" offering and notes that "GDPR requires certain companies to appoint a DPO." The site content identifies the firm as a professional services organisation (revīzijas, grāmatvedības, nodokļu, juridisko un finanšu konsultāciju sniedzējs) and includes corporate footer text citing Grant Thornton Baltic SIA. The material also contains privacy-related notices (cookie descriptions and consumer opt-out wording). The entry therefore reflects a consulting/managed-service provider for privacy and compliance needs.
Asgard Regulatory Group, LLC
Navigating Compliance with Confidence and Precision
Asgard Regulatory Group is a compliance consulting firm focused on broker-dealer and financial services regulatory requirements. The firm conducts interviews with management to identify applicable obligations and partners with clients to develop and implement compliance program implementation plans. Asgard supports firms subject to FINRA and SEC oversight, offering assistance with regulatory filings such as Form 13F submissions and Form ADV amendments, investment committee meetings, quarterly attestations, and both ongoing compliance programs and firm-specific audit and project-based needs. Services are delivered by regulatory compliance and risk management professionals who provide continuous, tailored support to broker-dealers, registered investment advisers, and private equity firms.
Crisil Coalition Greenwich
Navigate Complexity with Data-Driven Insights
Coalition Greenwich provides unique and actionable insight that helps financial institutions benchmark performance and navigate compliance complexities. By collaborating with leading global and regional corporate investment banks, hedge funds, and asset managers, the firm offers data-driven decision-making support, enhancing clients' ability to make informed strategic choices. Their services include client analytics, market intelligence, and robust analytics, positioning clients to achieve growth and long-term value amidst evolving compliance risks and technological advancements.
Cornerstone Advisors
Transforming financial strategies into tangible success
Cornerstone Advisors provides expert consulting services to financial institutions, assisting them in strategic planning, vendor management, and technology transformation. They specialize in vendor negotiation, helping clients secure optimal terms, conditions, and support to save costs. Their proprietary tools like Contract Vault™ and Vendor Vault™ enable enhanced vendor management throughout the lifecycle. Cornerstone's performance solutions improve efficiency and productivity, while their fintech advisory services offer strategic positioning for fintech leaders. They also provide comprehensive training through Cornerstone Executive Education to ensure organizations stay ahead in a competitive environment.
TCA Compliance
Navigate Compliance with Confidence and Clarity
TCA provides a comprehensive approach to bank compliance, helping financial institutions manage risk and meet regulatory obligations. With over 30 years of experience, TCA offers services including independent AMS model reviews and consulting support tailored to unique compliance needs. Their proactive approach focuses on identifying potential compliance issues and recommending enhancements to the Compliance Management System (CMS). TCA's support can be accessed via phone or email, ensuring clients have the guidance they need to navigate complex compliance challenges related to the Bank Secrecy Act and Anti-Money Laundering requirements. TCA aims to be an extension of their clients' internal teams, offering expertise in Fair Lending and Community Reinvestment Act obligations.
STP Investment Services
Navigating Compliance with Precision and Care
STP Investment Services specializes in outsourced investment operations and compliance, helping financial firms streamline their workflows and reduce risk. With expertise in portfolio administration and regulatory compliance, STP provides a centralized system for visibility into compliance operations, empowering firms to make informed decisions. Their global team of compliance professionals and financial systems experts offer tailored support to meet diverse needs. Utilizing a cloud-based platform, STP ensures security protocols and operational efficiency, allowing firms to focus on growth and maximizing returns.
Kaizen
Navigate Compliance with Precision and Confidence
Kaizen specializes in trade and transaction reporting for regulatory frameworks such as MiFID II, Dodd-Frank, EMIR, and SFTR, providing automated shareholding disclosure monitoring and reporting. Their award-winning ReportShield suite includes Accuracy Testing, helping over 160 financial firms globally meet compliance obligations. This comprehensive platform offers a fully automated monitoring and reporting system that addresses the complex challenges of over 400 global shareholding disclosure rules across more than 100 countries. Kaizen's Single Rulebook software enables users to search, share, and manage regulatory rules efficiently.
Silver Regulatory Associates LLC
Navigating Compliance in a Digital Frontier
Silver Regulatory Associates positions itself as a compliance advisory firm focused on investment managers and digital asset firms. The record states an "early entry into the crypto space" and that Silver "guides private equity, venture capital, hedge fund and crypto/digital asset firms." The site promotes a resource page and a "video-based educational hub" called Silver's Educational Hub and a blog, SilverVision, offering regulatory insights. Content includes checklists, regulatory updates, and commentary from Silver's Compliance Team on topics such as AI use, ESG/regulatory developments, cybersecurity checklists, and readiness guidance for private fund managers. The record emphasizes advisory depth and a partner network combining advisory and automation.
Bank for International Settlements – BIS
Navigating Global Finance Together
The Bank for International Settlements (BIS) serves as a bank for central banks, promoting global monetary and financial stability through international cooperation. It provides a platform for central banks to discuss key supervisory issues and improve banking supervision worldwide. The Basel Committee on Banking Supervision, housed at BIS, focuses on enhancing understanding of supervisory challenges and offers compliance consulting on post-crisis reforms such as Basel III. With activities aimed at addressing fiscal threats and cross-border payment integration, BIS supports central banks in navigating uncertainties in the global financial landscape.
Donnelley Financial Solutions (DFIN)
Navigating Compliance with Precision and Insight
Donnelley Financial Solutions (DFIN) provides advanced financial solutions software and compliance tools specifically designed to support financial regulatory compliance. Their offerings include a Virtual Data Room (VDR), which empowers users to manage compliance processes effectively throughout the business lifecycle. DFIN also offers solutions for SEC and ESG reporting, ensuring businesses can navigate compliance with financial regulations efficiently. With a strong focus on assisting clients through their compliance needs, DFIN stands as a valuable partner in the financial industry landscape.
Brush Creek Partners
Guarding Your Future from Digital Threats
Brush Creek Partners presents itself as a technology risk management and insurance partner focused on cyber and technology exposures. The site states they help clients save time, reduce costs and transfer risk off the balance sheet, and invites visitors to get a quote. Their approach includes a proprietary process to understand financial risk from technology failures and to analyze the quality of cyber liability insurance placement so clients understand their balance-sheet exposure. The firm lists services including Vulnerability Assessments & Penetration Testing, contract review, help building cyber security policies, and managing an insurance program. The homepage also references a specialty cyber, technology, and private equity practice.