Who We Are > Compliance

Our Regulatory Compliance

We align ourselves with respected and well-established organizations to manage certain operational aspects of our service, so that we can remain a fully independent, boutique firm.

We've partnered with Ara Compliance Support to ensure that our service is compliant with all regulatory standards on an ongoing basis.

Ara Compliance Support specializes in providing compliance and registration services to independent Exempt Market Dealers and Portfolio Managers. Founded in 2006, Ara is made up of a team of industry experts offering clients in-depth knowledge, decades of experience and practiced judgment in the field of security regulations.

You can learn more about Ara Compliance Support at www.aracompliance.com and you can view our privacy and legal information here.