Strategic Partners

LMHS, P.C. is a full-service Public Accounting firm, providing tax, assurance, and advisory services to individuals and businesses across the United States and Canada. Within LMHS, P.C.’s assurance practice, there is a specialization in Broker Dealer auditing – LMHS, P.C. currently performs PCAOB certified audits for over 50 brokers and dealers annually. In addition to servicing Broker Dealers, LMHS, P.C. also provides Fund Audits and Surprise Custody Audits. The LMHS, P.C. team offers the support, objectivity, and expertise which companies need to succeed within the context of an ever-changing business landscape. For more information, please visit https://lmhspc.com/.

As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services, and education to empower Chief Compliance Officers and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of complex compliance tasks. Our deep bench of industry expertise supports more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers, and other financial service sector participants.

Global Relay is the leading provider of fully compliant, cloud electronic communications archiving, messaging, supervision, and eDiscovery solutions for the global financial sector and other highly regulated industries. Founded in 1999, Global Relay delivers services to over 20,000 customers in 90 countries, including 22 of the top 25 banks. From the Global Relay App for compliant communications, through to intelligent archiving, superior data connectors, and proactive surveillance, Global Relay’s integrated compliance solutions enable regulated organizations to meet collaboration, privacy, and security requirements.

Kaplan Financial Education leads the financial education industry with the most study tools and delivery methods available from any single provider; including self-study, live classroom, and online options. Our dedication to education can be seen in our learning strategy, known as the Kaplan Way. Our faculty and instructors are not just experienced academics...they're practitioners who know what it takes to pass the exams and succeed in the real world. Offering exam prep and continuing education for insurance licensing, securities, and CFP® certification, Kaplan gives your team an edge in a competitive world.

For over twenty-five years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing and supervising compliance risk exposures. Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.

Alliance Risk Group is a fully licensed, bonded and insured risk mitigation partner specializing in pre- and post-employment background investigations. The company focuses on assisting compliance, human resource, risk management, and legal professionals mitigate loss and make informed decisions. Alliance Risk Group is an industry expert on FINRA Rule 3110 and provides background investigations that meet or exceed SEC and FINRA compliance regulations. In addition the firm conducts quarterly informative webinars concerning industry best practices. A member of the National Association of Professional Background Screeners (NAPBS), key Alliance Risk Group staff members have received NAPBS Fair Credit Reporting Act (FCRA) Basic Certification. The company lives its Brand Promise, which is to Inspire Confidence in its unique approach.

Mercer Consumer, a service of Mercer Health & Benefits Administration LLC, is the market leader in providing risk management and customized insurance solutions. We are consistently recognized as a leading provider of insurance solutions to the securities and financial services industries and have been a FINRA® compliance resource provider for more than 30 years. Through our best-in-class practices, exceptional market expertise, claims advocacy, dedicated customer service team and competitive rates, you will receive a wealth of services unparalleled in the financial services industry. Our products include Fidelity Bonds, Errors & Omissions Liability, Cyber/Privacy Liability, Directors & Officers Liability, Fiduciary Liability, STAMP Bonds, Surety Bonds, ERISA First- and Third-Party Bonds to name a few. Contact us today at 1 800 978 6273 or visit us online at http://www.brokerdealercoverage.com/.