Compliance Solutions for Investment Advisers

News

U.S. Compliance Consultants Opens North Carolina Office

(December 2011) U.S. Compliance Consultants is pleased to announce the opening of our branch office in Durham, North Carolina to better serve the growing number of investment advisers in the Southeastern part of the United States.

Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Transition of SEC Registered Investment Advisers

(September 2011) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, President of U.S. Compliance Consultants. It provided an in-depth analysis of the required transition of mid-sized SEC registered investment advisers to state registration.

Scott Gottlieb, President of U.S. Compliance Consultants, quoted in Investment News

(April 2011) Scott Gottlieb, President of U.S. Compliance Consultants, was quoted in two important Investment News stories – “Some states give a break on the deadline for filings ADVs” and “A third of advisers may blow deadline on ADV-2 forms”.

Scott Gottlieb, President of U.S. Compliance Consultants, participates in panel at Money Managers Institute (MMI) Annual 2010 Solutions Conference

(November 2010) Scott Gottlieb, President of U.S. Compliance Consultants, talked about “Creating a Culture of Compliance in Lockstep with Business Growth Objectives” at a special MMI panel discussion during the MMI Annual 2010 Conference in New York City.

Scott Gottlieb, President of U.S. Compliance Consultants, Conducts Webinar for TD Ameritrade on the Impact of the Wall Street Reform Act

(October 2010) Scott Gottlieb, President of U.S. Compliance Consultants, conducted a webinar for over 300 TD Ameritrade- affiliated investment advisers on the process of transitioning from SEC to state registration.

Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Impact of the Wall Street Reform Act

(September 2010) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, President of U.S. Compliance Consultants. It provided an in-depth synopsis of the registration process for those SEC registered investment advisors that must transition to state registration as a result of the Wall Street Reform Act.

Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Impact of the New Massachusetts Data Security Regulations

(December 2008) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, president of U.S. Compliance Consultants. It provided an in-depth look at many of the new data security regulations applicable to investment advisers.

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