Complying with the new and evolving regulatory rules challenges the resources of investment professionals who more and more rely on leveraging external compliance experts. The fundamental issue with most companies offering compliance service to buy-side firms is the quality and comprehensiveness of their offerings.

For example, often small compliance management boutiques provide consulting without a technology piece. Their focus is primarily on regulatory filings and may neglect the management of the key compliance requirements of AML, insider trading, pre-clearance, expert calls, and the like. Frankly, these vital tasks are extremely challenging to implement without a proper technology platform. Then, when considering large service providers, for which compliance consulting revenue is only a small fraction of their overall business, one finds that their main focus is tax, valuation, and advisory consulting which generate higher fees. Why would they want to invest in high quality resources and service for relatively little revenue? This opens up the opportunity for Conformity360 to win over clients as a specialized compliance consulting firm combining consultative services with our own customized technology platform. Our key differentiating approach is based on three main pillars: quality, scale, and technology.

Our team, which includes experts from the industry, ex-regulators, and former attorneys, has exceptional expertise and long experience in the business and regulatory landscape. We understand that each client's business needs are unique and develop, implement, and support a specific service offering to meet each client's requirements.

Global knowledge and experience within the industry, understanding of regulations, laws, and requirements, and relationships with regulators means that we have a core understanding of what regulators and potential investors, undertaking due diligence, will require. These allow us to provide a cost-effective and comprehensive service tailored to each client’s needs.

RuleBook is our web-based proprietary software that offers a risk-based approach to regulatory compliance by linking regulations to internal policies and risks and further maps them to business lines and products. RuleBook captures and acts upon regulation-related events and helps ensure that regulatory affairs and compliance teams are always current on new regulations.