SOURCES: A RESOURCE DIRECTORY - sifma.org · SOURCES: A RESOURCE DIRECTORY The 2018 Guide to...

SOURCES: A RESOURCE DIRECTORYThe 2018 Guide to Products and Services for the Securities Industry

SIFMA is the leading trade association for broker-dealers,

investment banks and asset managers operating in the U.S.

and global capital markets. On behalf of our industry’s nearly 1

million employees, we advocate on legislation, regulation and

business policy, affecting retail and institutional investors, equity

and fixed income markets and related products and services.

We serve as an industry coordinating body to promote fair and

orderly markets, informed regulatory compliance, and efficient

market operations and resiliency. We also provide a forum for

industry policy and professional development. SIFMA, with

offices in New York and Washington, D.C., is the U.S. regional

member of the Global Financial Markets Association (GFMA).

For more information, visit www.sifma.org.

SOURCES: A RESOURCE DIRECTORYThe 2018 Guide to Products and Services for the Securities Industry

New York | Washington120 Broadway, 35th Floor | New York, NY 10271-0080 | P: 212.313.1200 | F: 212.313.1301

www.sifma.org | [email protected]

© 2018 Securities Industry & Financial Markets Association

SOURCES:

Accounting and Professional Services

Deloitte ............................................................................................................. 1

EY ..................................................................................................................... 1

PwC .................................................................................................................. 3

Anti-Money Laundering

Safe Banking Systems ...................................................................................... 5

Clearing and Settlement

Fidelity Clearing and Custody Solutions ......................................................... 5

Communications and Technology

Broadridge ...................................................................................................... 7

Consulting

Aplomb Strategies ............................................................................................ 9

Axis Corporate ................................................................................................. 9

Bates Group ................................................................................................... 11

Capital Forensics ............................................................................................ 11

FITS Consulting.............................................................................................. 13

Greenwich Associates .................................................................................... 13

Oliver Wyman. ............................................................................................... 13

Promontory Financial Group. ........................................................................ 14

Sia Partners .................................................................................................... 14

Data Management

Advanced Information Management (AIM Software) ................................... 15

Insurance

Assured Guaranty .......................................................................................... 15

TABLE OF CONTENTS

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A RESOURCE DIRECTORY

Legal

Alston & Bird ................................................................................................. 16

Borden Ladner Gervais (BLG) ....................................................................... 16

Bracewell ........................................................................................................ 17

Cadwalader, Wickersham & Taft .................................................................... 17

Clifford Chance .............................................................................................. 17

Goodwin ........................................................................................................ 18

Greenberg Traurig ......................................................................................... 18

Hawkins Delafield & Wood ........................................................................... 19

Hogan Lovells ................................................................................................ 19

Katten Muchin Rosenmann (Katten) ............................................................. 20

Murphy & McGonigle .................................................................................... 20

QuisLex .......................................................................................................... 21

Schulte Roth Zabel ......................................................................................... 21

Seward & Kissel ............................................................................................. 23

Squire Patton Boggs ...................................................................................... 23

WilmerHale .................................................................................................... 24

Wilson Sonsini Goodrich & Rosati (WSGR) .................................................. 24

Market Data

IHS Markit ...................................................................................................... 25

Other - Brokerage Solutions

DST Systems ................................................................................................... 25

Other - Financial Data and News

Bloomberg...................................................................................................... 27

Other - Tax Reclamation

GlobeTax ........................................................................................................ 28

Goal ................................................................................................................ 28

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SOURCES:

Professional Services

Accenture ....................................................................................................... 29

SEBA International......................................................................................... 29

Research

CreditSights .................................................................................................... 31

Risk & Compliance

ACA Compliance Group ................................................................................ 32

Renaissance Regulatory Services (RRS) ........................................................ 32

Technology / Software and Services

Appway .......................................................................................................... 33

Authentic8 ...................................................................................................... 33

FIS .................................................................................................................. 34

Fi-Tek ............................................................................................................. 34

Hearsay Systems ............................................................................................ 35

IBM ................................................................................................................. 35

Infosys ............................................................................................................ 37

MyComplianceOffice (MCO) ......................................................................... 37

NRI ................................................................................................................. 39

n-Tier Financial Services ................................................................................ 39

Openlink ........................................................................................................ 40

PriceMetrix ..................................................................................................... 40

Scivantage....................................................................................................... 41

Shadow Financial Systems ............................................................................. 41

Talisys ............................................................................................................. 42

Thomson Reuters ........................................................................................... 42

Total Bank Solutions ...................................................................................... 43

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ACCOUNTING AND PROFESSIONAL SERVICES

30 Rockefeller Plaza, New York, NY 10112 212.492.4000 | www.deloitte.com

Lawrence Rosenberg, Partner | 212.436.4869 | [email protected]

Deloitte’s financial services industry practice represents more than 25 percent of our firm’s U.S. and global revenues. Our banking and securities practice is comprised of a global network of 40,000 industry professionals. It is this deep expertise in all facets of financial services that make us exceptionally qualified to serve the industry. We provide audit, consulting, financial advisory, risk management, and tax services. And we are consistently at the forefront of the issues most important to our clients, including services related to shortened settlement cycle (T+2), DoL fiduciary standard, corporate governance, and regulatory reform.

5 Times Square, New York, NY 10036 | www.ey.com

Michael Sheptin, Principal | +1 212.773.6032 | [email protected]

The global network of EY firms understands the importance of asking great questions. It’s how you innovate, transform and achieve a better working world. Finance and capital markets fuel our lives. No other sector can touch so many people or shape so many futures. That’s why globally our network includes 26,000 people who focus on financial services. Our financial services teams are dedicated to providing assurance, tax, transaction and advisory services to the banking and capital markets, insurance, and wealth and asset management sectors. It’s our global connectivity and local knowledge that ensures we deliver the insights and quality services to help build trust and confidence in the capital markets and in economies the world over. The better the question. The better the answer. The better the world works.

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SOURCES:

Unsure how to navigate today’s complex landscape? We can help.

Every day, financial institutions of all sizes and scale look to Deloitte to help turn critical and complex business issues into opportunities for growth, resilience, and long-term advantage. Our experienced team of more than 4,200 banking and securities professionals deliver innovative services to help you navigate through today’s complex landscape—and your most important issues, including shortened settlement cycle (T+2), DoL fiduciary standard, liquidity, cybersecurity, and regulatory reform in addition to state of the art, industry leading Audit and Tax services.

Larry Rosenberg PartnerDeloitte & Touche LLP+1 212 436 [email protected]

www.deloitte.com/us/bankingandsecurities

Copyright © 2018 Deloitte Development LLC. All rights reserved.

| 3


ACCOUNTING AND PROFESSIONAL SERVICES

300 Madison Avenue, New York, NY 10017 646.471.3000 | www.pwcregulatory.com | pwc.com

Julien Courbe, PwC Financial Services Advisory Leader [email protected]

With offices in 158 countries and more than 236,000 people, PwC is among the leading professional services networks in the world. PwC’s Financial Services Practice provides a comprehensive range of services, including digital solutions and transformation, FinTech, financial crimes and cyber, regulatory and compliance, risk management, business strategy, deals and fund support. Our professionals bring an unparalleled depth of industry experience and multidisciplinary problem-solving skills allowing our service teams to address whatever issues our clients may face.

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SOURCES:

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Navigate the Transformative Age with the better-connected consultants.

When the ground beneath your feet is shifting, do you stand still or leap forward?

ey.com/consulting

| 5


ANTI-MONEY LAUNDERING

114 Old Country Road, Suite 320, Mineola, NY 11501 631.547.5400 | www.safe-banking.com

Carol Stabile, Chief Sales & Marketing Officer | [email protected]

Safe Banking Systems (SBS) provides innovative anti-money laundering (AML) and compliance solutions that enable institutions to identify, assess and manage risk across the enterprise. By reaching across business silos, SBS combats financial crime and finds the bad guys. SBS’ AML solutions solve key Know Your Customer, Customer Due Diligence and Enhanced Due Diligence issues. The patented risk ranking methodology and probability scoring model in SBS’ SAFE Advanced Solutions Visual Intelligence Platform® bring greater intelligence for entity resolution to clients worldwide.

CLEARING AND SETTLEMENT

200 Seaport Boulevard ZP2, Boston, MA 02110

https://clearingcustody.fidelity.com

Fidelity Clearing and Custody Solutions® provides a comprehensive clearing and custody platform, brokerage, investment, and reporting services, trading capabilities, and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and professional asset managers, retirement recordkeepers, broker-dealer firms, banks, insurance companies, family offices, and wealthy families. The goal of Fidelity Clearing & Custody Solutions® is to help clients ensure that they are always future-ready by providing knowledgeable consulting, exceptional people and transformative technology.

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SOURCES:

Transform risk and complexity to your advantage

© 2018 PwC. All rights reserved. PwC refers to the US member firm or one of its subsidiaries or affiliates, and may sometimes refer to the PwC network. Each member firm is a separate legal entity. Please see www.pwc.com/structure for further details. This content is for general information purposes only, and should not be used as a substitute for consultation with professional advisors.

In an environment of disruption and unforeseen risk and regulation, it’s challenging for financial services businesses to change course midstream.

Whether driven by business transformation, regulatory compliance, global events or customer preferences, the pace and nature of change can be dizzying. And what has made your company successful in the past may not work as well in the future. Our professionals can help you explore your long-term challenges and opportunities. They can work with you to build capabilities to anticipate and respond to expected and unexpected disruption to not only survive, but thrive in an uncertain environment.

For more information about PwC’s Financial Services Practice, please contact:

Julien Courbe US Financial Services Advisory Leader (646) 471 4771 [email protected]

www.pwcregulatory.com

413035-2018-SIFMA Sources 2018 Ad v2.indd 1 1/16/2018 1:16:35 PM

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COMMUNICATIONS AND TECHNOLOGY

One Park Avenue, New York, NY 10016

+1 844.988.3429 | broadridge.com

Michael Natoli, S.V.P., Global Technology and Operations [email protected] | 212.918.6951

Tim McConnell, S.V.P., Investor Communication Solutions [email protected] | 212.918.6941

Broadridge, a global fintech leader with over $9 billion* in market capitalization, provides communications, technology, data and analytics. We help drive business transformation for our clients with solutions for enriching client engagement, navigating risk, optimizing efficiency and generating revenue growth. We deliver two billion shareholder communications each year, enable multi-asset post-trade processing in 70 countries and connect 5,000 brands. Our unique vantage point lets us see ahead to help businesses navigate change and win in a complex landscape. We work side-by-side with our clients to help them get ahead of today’s challenges and capitalize on what’s next.

* As of November 2017

When you work with Fidelity, you get innovative technology and dedicated service and support—so you can focus on taking your business further. As a Strategic Partner of the Securities Industry and Financial Markets Association, we take pride in advancing our capabilities to help ensure that your firm is equipped, prepared, and evolving for the future.

To learn how Fidelity is the change agent helping innovative advisors and firms build a future-ready business, visit go.fidelity.com/transformnow or call 877-262-5950.

Start your journey today.

Fidelity Clearing & Custody Solutions® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC. © 2018 FMR LLC. All rights reserved. 830589.2.0

& CUSTODY SOLUTIONSFIDELITY CLEARING

for the futureTRANSFORM

34723_06_AD_Sifma.indd 1 1/24/18 12:41 PM

| 9


CONSULTING

230 West 55th Street, New York NY 10019 aplombstrategies.com

Joanna Fields, CEO & Founding Principal 646.559.4352 | [email protected]

Aplomb Strategies is a global regulatory consulting and technology development firm focused on corporate governance, cybersecurity, enterprise risk, and regulatory market structure. We specialize in identifying regulatory trends and help design future proof technology solutions. Aplomb implements cost effective processes and systems that mitigate risk while creating growth opportunities. Aplomb Strategies clientele includes leading exchanges, clearing firms, and registered entities, such as broker dealers and hedge funds across all asset classes (i.e. equities, listed options, futures, FX, fixed income and OTC derivatives). For more information, visit aplombstrategies.com.

477 Madison Avenue, New York, NY 10022 646.809.1200 | www.axiscorporate.com

Dominic Gammarati, Managing Director, USA | [email protected]

Axis Corporate is an international management consulting company focused on the financial services industry. Clients look to us as an independent advisory and execution partner in Digital & Innovation, Business Transformation and Governance, Risk and Compliance (GRC). Our key practices provide clients with both specialized expertise and integrated solutions for the broader enterprise.

When you work with Fidelity, you get innovative technology and dedicated service and support—so you can focus on taking your business further. As a Strategic Partner of the Securities Industry and Financial Markets Association, we take pride in advancing our capabilities to help ensure that your firm is equipped, prepared, and evolving for the future.

To learn how Fidelity is the change agent helping innovative advisors and firms build a future-ready business, visit go.fidelity.com/transformnow or call 877-262-5950.

Start your journey today.

Fidelity Clearing & Custody Solutions® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC. © 2018 FMR LLC. All rights reserved. 830589.2.0

& CUSTODY SOLUTIONSFIDELITY CLEARING

for the futureTRANSFORM

34723_06_AD_Sifma.indd 1 1/24/18 12:41 PM

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SOURCES:

Enriching client engagement

Navigating risk

Optimizing operations

Growing revenue

© 2018 Broadridge Financial Solutions, Inc., Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc.

Broadridge, a global fintech leader with over $9 billion* in market capitalization, provides communications, technology, data and analytics solutions. We help drive business transformation for our clients with solutions for enriching client engagement, navigating risk, optimizing efficiency and generating revenue growth. *As of November 2017

broadridge.com

CommunicationsTechnologyData and Analytics

Get ahead of today’s challenges to capitalize on what’s next

| 11


CONSULTING

5005 SW Meadows Road, Suite 300, Lake Oswego, OR 97035 503.670.7772 | www.batesgroup.com

Jennifer L. Stout, President and CEO [email protected]

Bates Group has been a trusted partner to financial services firms and counsel for over 30 years, providing end-to-end solutions on legal, regulatory and compliance matters. Our roster of 125 industry experts offer services in litigation consultation and testimony, regulatory and internal investigations, compliance solutions, forensic accounting, and damages consulting. Bates Group supports you every step of the way.

1530 East Dundee Road, Palatine IL 60074

847.392.0900 | [email protected] | www.capitalforensics.com

Eric H. Siber, Managing Director, Marketing | [email protected]

Capital Forensics provides litigation support, expert witness testimony, data analytics, regulatory, compliance and risk management consulting, and forensic accounting. Our clients include broker-dealers, banks, insurance companies, and RIAs, and their outside Counsel. Our arbitration tools including the industry standard for Arbitrator rankings, the ArbSelector, assists firms in making their selections.

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SOURCES:

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CONSULTING

400 Morris Avenue, Suite 264, Denville, NJ 07834 973.586.8877 | www.FITSConsulting.com

Henry Lange, President & CEO | [email protected]

FITS Consulting, a leading Professional Services provider, specializes in financial services. Our industry coverage provides solutions in Banking, Capital Markets, Wealth/Investment Management. FITS’ services span Strategy Execution, Program Management, Conversion and Platform Integration to Regulatory/Compliance. We distinguish ourselves by providing industry expertise, innovative thinking and service excellence.

6 High Ridge Park, Stamford CT 06905 203.625.5038 | greenwich.com

We are the leading provider of global market intelligence and advisory services to the financial services industry. Our Market Structure and Technology practice offers in-depth insights to help you stay ahead of industry changes driven by regulatory and technological shifts, so you can make better, forward-thinking decisions.

1166 Avenue of the Americas, 29th Floor, New York, NY 10036 212.541.8100 | www.oliverwyman.com

Oliver Wyman is a global leader in management consulting that combines deep industry knowledge with specialized expertise in strategy, operations, risk management, and organization transformation.

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SOURCES:

CONSULTING

801 17th Street NW, Suite 1100, Washington DC 20006 202.384.1200 | www.promontory.com

Kathleen Goldstein, Communications and Marketing [email protected]

Promontory Financial Group, an IBM Company, excels at helping clients resolve critical issues, particularly those with a regulatory dimension. Promontory professionals have unparalleled regulatory experience and insight, and provide our clients with frank, proactive advice informed by best practices and regulatory expectations.

40 Rector Street, Suite 1111, New York NY 10006 646.496.0160 | www.sia-partners.com

Daniel Connor, CEO US | [email protected]

Sia Partners is a leading global strategic and operational management consultancy with over 1,000 consultants across 20 offices. In the Americas, we are engaged by major Financial Services, Technology and Energy clients operating in NY, Charlotte, San Francisco, Chicago, Boston, Houston and Montreal. Our services includes Strategic Advisory, RPA/AI, Risk & Regulatory Compliance, Data Science and Control Environment.

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DATA MANAGEMENT

205 East 42nd Street, New York NY 10017 | 732.647.7001 [email protected] | www.aimsoftware.com

Sanjay Vatsa, Head of Americas | [email protected]

AIM Software is a leading provider of Enterprise Data Management business applications to the Buy-Side. More than 100 of the world’s leading asset management, private & wealth management, asset servicing, fund administration and global custody firms depend on AIM Software for their core data management requirements, including reference data management, portfolio pricing & analytics, and corporate actions processing.

INSURANCE

1633 Broadway, 23rd Floor, New York, NY 10019 | 212.974.0100 150 California Street, San Francisco, CA 94111 | 415.995.8000

www.assuredguaranty.com

Assured Guaranty is the leading provider of financial guaranty insurance. We guarantee scheduled principal and interest payments when due on municipal, public infrastructure and structured financings. We have long been committed to protecting debt holders from payment defaults and to helping issuers obtain cost-efficient access to capital. We also provide reinsurance to the financial guaranty industry.

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SOURCES:

LEGAL

One Atlantic Center, 1201 West Peachtree Street, Atlanta, GA 30309 404.881.7000 | www.alston.com

Alston & Bird is a leading national law firm whose core practice areas are intellectual property, complex litigation, corporate, and tax, with focuses that include financial services and health care. The firm has been ranked on Fortune magazine’s “100 Best Companies to Work For” list for 18 consecutive years.

Bay Adelaide Centre, East Tower, 22 Adelaide St W, Toronto, ON, Canada M5H 4E3 www.blg.com

Julie Mansi, Partner | 416.367.6224 | [email protected]

Borden Ladner Gervais LLP (BLG) is a full-service Canadian law firm. With almost two hundred years of history going back to the 1823 founding of McMaster Gervais, it is the oldest law firm in the country, and today counts over 700 lawyers, intellectual property agents and other professionals in its Toronto, Montréal, Vancouver, Ottawa, and Calgary offices.

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LEGAL

711 Louisiana Street, Suite 2300, Houston, TX 77002 713.223.2300 | www.bracewell.com

Paul Maco, Partner, Government and Internal Investigations Group 202.828.5800 | [email protected]

Bracewell LLP is an international law firm representing brokers, dealers, and municipal securities dealers, municipal advisors, and state and local governments and their officials in SEC, DOJ and states attorneys general investigations and enforcement matters. Bracewell also advises on regulatory and compliance matters in our broader service for Fortune 500 companies, major financial institutions, leading private investment funds, governmental entities and individuals in public finance, energy, technology and financial services.

200 Liberty Street, New York NY 10281 212.504.6000 | [email protected] | www.cadwalader.com

Cadwalader, Wickersham & Taft LLP is one of the world’s most prominent financial services law firms. Cadwalader has long-standing client relationships with premier financial institutions, Fortune 500 companies and other leading corporations, government entities, charitable and health care organizations, and individual private clients..

31 West 52nd Street, New York NY 10019 +1 212.878.8000 | www.cliffordchance.com

David D. DiBari, Managing Partner, Washington Office – Head, US Litigation Practice | +1 202.912.5098

Clifford Chance US is a full-service firm with a leading US regulatory, enforcement and litigation practice representing major US and global companies on all aspects of financial services law and regulation, economic sanctions and export controls, anti-money laundering, anti-corruption, and other laws and regulations affecting domestic and international companies.

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SOURCES:

LEGAL

100 Northern Avenue, Boston MA 02210 617.570.1000 | www.goodwinlaw.com

Brian Pastuszenski, Senior Partner and Co-Chair of Securities Litigation + SEC Enforcement Practice [email protected] | 212.459.7279

At Goodwin, we use law to achieve unprecedented results for our clients. Our 1,000 plus lawyers across the United States, Europe, and Asia excel at complex transactions, high-stakes litigations and world-class advisory services in the financial, life sciences, private equity, real estate, and technology industries. Visit us at www.goodwinlaw.com

MetLife Building, 200 Park Avenue, New York, NY 10166 212.801.9200 | www.gtlaw.com

William D. Briendel, Co-Chair, Securities Litigation Practice [email protected] | 212.801.2107

Greenberg Traurig’s nationally-recognized broker-dealer practice assists clients to limit litigation and regulatory risk. Our attorneys regularly serve as lead defense counsel in high stakes SEC, FINRA and state regulatory enforcement matters. Our courtroom and arbitration experience is unparalleled, having tried to conclusion well in excess of 1,000 disputes facing the financial services industry.

| 19


LEGAL

7 World Trade Center, 250 Greenwich Street, New York NY 10007-2442 212.820.9300 | www.hawkins.com

Howard Zucker, Partner | [email protected]

Hawkins Delafield & Wood LLP is the only national law firm in the United States whose practice is devoted exclusively to public finance and public projects, including P3 projects. Hawkins has nine offices nationally – New York City; Washington, DC; Los Angeles, San Francisco and Sacramento, California; Portland, Oregon; Newark, New Jersey; Ann Arbor, Michigan; and Hartford, Connecticut. We have more attorneys engaged in the full-time practice of public finance and projects than any other law firm in the country, including 14 tax attorneys. Since records have been maintained, Hawkins is ranked nationally, in terms of volume, the number one underwriters’ counsel and the number two bond counsel, and has participated in the issuance of over one Trillion dollars of municipal bonds.

555 13th Street NW, Washington DC 20004 202.637.5600 | hoganlovells.com

David Malkin, Marketing & Business Development Manager 212.918.3314 | [email protected]

Financial Services litigators at Hogan Lovells are experienced at handling all aspects of investigations, regulatory enforcement, and civil litigation for financial institutions. We represent major global banks in high-profile cases, and we are playing, or recently have played, a major role in the most significant cross-border matters facing banks today.

20 |

SOURCES:

LEGAL

525 West Monroe Street, Chicago IL 60661-3693 312.902.5200 | www.kattenlaw.com

Janet M. Angstadt, Head, Chicago Financial Services Practice 312.902.5494 | [email protected]

Katten is a global law firm with more than 600 attorneys in the U.S., London and Shanghai. We provide comprehensive financial services representation with particular strengths in securities, futures and investment management. Our attorneys guide clients through all aspects of litigation and regulatory compliance and represent them in regulatory inquiries, investigations, civil disputes and enforcement actions.

4870 Sadler Road, Glen Allen VA 23060 804.762.5320 | www.mmlawus.com

Paul Merolla, Partner | 212.880.3960 | [email protected]

Murphy & McGonigle is a law firm concentrating in sophisticated high-stakes commercial litigation, securities arbitration, the defense of SEC and other government and SRO investigations and proceedings, and regulatory guidance to broker/dealers, investment advisers, hedge funds, and other types of financial services firms. The Firm’s singular focus is on the efficient delivery of high quality, cost-effective legal services. Our lawyers have a notable depth of experience and provide the highest level of client service. Our Litigation and Enforcement practices are backed up by a sophisticated electronic discovery and data management consulting practice. U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. The firm operates offices in New York, Washington DC and Richmond, Virginia.

| 21


LEGAL

200 Liberty Street, New York NY 10281 917.512.4489 | [email protected] | www.quislex.com

Joe Polizzotto, Senior Vice President, Strategy & Client Services 646.793.3411 | [email protected]

QuisLex is an award-winning legal services provider with unmatched experience in the financial services industry having executed over 200 large-scale complex document reviews for financial services clients, supporting litigations and regulatory investigations around the globe. Founded in 2004, QuisLex is recognized as a pioneer in the legal services industry. With more than 1,000 fulltime attorneys, Six Sigma process experts, technologists, statisticians and linguists, QuisLex delivers solutions that enhance quality while reducing cost and mitigating risk. QuisLex’s excellence is recognized by both clients and the legal market, including being a Chambers Global Band 1 LPO since 2010 and a New York Law Journal top managed document review provider since 2014.

919 Third Avenue, New York, NY 10022 212.756.2000 | www.srz.com | [email protected]

Schulte Roth & Zabel LLP, a multidisciplinary law firm in New York, Washington, D.C. and London, is a leading law firm serving the financial services industry. SRZ advises on regulatory, compliance and enforcement issues (including AML, OFAC and FCPA), transactional matters, and SEC, DOJ, CFTC, FINRA, SRO and other investigations.

22 |

SOURCES:

QuisLex’s work with leading financial institutions

is the basis of our extensive institutional and industry

knowledge and understanding of the litigation and

regulatory issues you face.

Our experience includes:

• RMBS/CMBS, trading activities related to benchmark

rates and indices

• Compliance with financial sanctions

• Auction rate securities

• Hedge funds

• Mutual funds

• Naked short selling, and

• Surveillance audits for branch reviews and compliance

with policies.

* Client Quote | Chambers Global

“asophisticatedspecializationinfinancial servicesinvestigations.”*

160825 Ad - SIFMA - Press.indd 1 8/25/16 6:35 PM

| 23


LEGAL

One Battery Park Plaza, New York NY 10004 212.574.1200 | www.sewkis.com

Marlon Paz, Partner, Head of Broker-Dealer Practice [email protected] | 212.574.1278

Seward & Kissel, founded in 1890, is a leading U.S. law firm with an international reputation for excellence. We have offices in New York City and Washington, D.C.

4900 Key Tower, 127 Public Square, Cleveland OH 44114 216.479.8500 | www.squirepattonboggs.com

Edward S. Sinick, Partner | 212.872.9835 | [email protected]

Squire Patton Boggs annually serves as bond, underwriter, borrower and tax counsel on billions of dollars of the nation’s largest, most complex and innovative public (including P3) financings. The firm consistently ranks among the top 10 bond counsel firms in the nation.

24 |

SOURCES:

LEGAL

1875 Pennsylvania Avenue, Washington, DC 20006 202.663.6000 | www.wilmerhale.com

Yoon-Young Lee, Partner and Chair, Broker-Dealer and Compliance Regulation Practice Group | 202.663.6720 | [email protected]

WilmerHale’s securities practice offers enforcement, litigation and regulatory capabilities and is recognized for its extensive experience in capital markets, investment management, broker-dealer and financial services regulation. Our broker-dealer team has experience in advising leading financial market participants on a range of issues, including securities and derivatives regulation, compliance and enforcement.

650 Page Mill Road, Palo Alto CA 94304-1050 650.493.9300 | [email protected] | www.wsgr.com

Susan Gault-Brown, Partner | 202.973.8809 | [email protected]

WSGR’s attorneys are sought after for their work developing novel, creative, and innovative fintech businesses and products. Our team represents a variety of cutting-edge companies in this regard—including crowdfunding platforms, peer-lending platforms, alternative trading systems, roboadvisers, social investing platforms, and distributed ledger technology (DLT or blockchain) and cryptocurrency businesses.

| 25


MARKET DATA

25 Ropemaker Street, London, EC2Y 9LY, United Kingdom 1.800.447.2273 | www.ihsmarkit.com

IHS Markit is a world leader in critical information, analytics and solutions for the major industries and markets that drive economies worldwide. The company delivers next-generation information, analytics and solutions to customers in business, finance and government, improving their operational efficiency and providing deep insights that lead to well-informed, confident decisions. IHS Markit has more than 50,000 business and government customers, including 80 percent of the Fortune Global 500 and the world’s leading financial institutions. Headquartered in London, IHS Markit is committed to sustainable, profitable growth.

OTHER: BROKERAGE SOLUTIONS

333 W. 11th Street, Kansas City MO 64105 816.435.1000 | www.dstsystems.com

David Burke, Senior Director | 860.290.7025 | [email protected]

The shift towards total wealth management along with changing product types and differing account structures require scalable and flexible operational capabilities. We offer subaccounting, brokerage operations models, and complete servicing solutions for alternative investment product structures that meet the evolving business needs of broker-dealer firms.

26 |

SOURCES:

Together we deliver a powerful combination of information, analytics, technology and expertise to finance, business, and government leaders around the world.

We call this The New Intelligence

Contact us to see how our solutions isolate cause and effect, risk and opportunity in ways that empower you to make well-informed decisions with confidence.

ihsmarkit.com

US: +1 212 931 4910 UK: +44 207 260 8000 Asia: +65 6922 4220

IHS Markit makes no warranty, expressed or implied, as to accuracy, completeness or timeliness, or as to the results to be obtained by use of the products and services described herein, and shall not in any way be liable for any inaccuracies, errors or omissions therein. IHS Markit is a registered trademark of IHS Markit Ltd and/ or one of its group companies. All other company and product names may be trademarks of their respective owners © 2016 IHS Markit. All rights reserved.

| 27


Together we deliver a powerful combination of information, analytics, technology and expertise to finance, business, and government leaders around the world.

We call this The New Intelligence

Contact us to see how our solutions isolate cause and effect, risk and opportunity in ways that empower you to make well-informed decisions with confidence.

ihsmarkit.com

US: +1 212 931 4910 UK: +44 207 260 8000 Asia: +65 6922 4220

IHS Markit makes no warranty, expressed or implied, as to accuracy, completeness or timeliness, or as to the results to be obtained by use of the products and services described herein, and shall not in any way be liable for any inaccuracies, errors or omissions therein. IHS Markit is a registered trademark of IHS Markit Ltd and/ or one of its group companies. All other company and product names may be trademarks of their respective owners © 2016 IHS Markit. All rights reserved.

OTHER: FINANCIAL DATA AND NEWS

731 Lexington Avenue, New York, NY 10022 212.318.2000 | www.bloomberg.com

Bloomberg connects influential decision makers to a dynamic network of information, people and ideas. Our strength – quickly and accurately delivering data, news and analytics through innovative technology – is at the core of everything we do. Bloomberg’s enterprise solutions leverage its technology to access, integrate, distribute and manage data. For more information, visit www.bloomberg.com

A forum to explore and discuss the role of capital markets in our nation’s economy.

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SOURCES:

OTHER: TAX RECLAMATION

One New York Plaza, 34th Floor, New York, NY 10004 www.globetax.com

Michael Finck, Managing Director | 212.747.9100 | [email protected]

GlobeTax is the leading provider of withholding tax recovery services for institutional and high-net worth investors receiving cross-border investment income. Through the firm’s MIDAS™ platform, GlobeTax offers relief at source for all depositary receipts, foreign shares, and debt products, systematizing withholding tax reclamation for financial market participants across the custody chain. GlobeTax helps clients maximize investment returns by ensuring that investors receive all legal entitlements from excess cross border withholding tax with fees fully contingent upon successful recoveries. GlobeTax is also the market infrastructure for tax reclaims on ADRs, as the appointed agent for the issuing depositary banks. The firm has offices on four continents and clients in over 40+ countries, filing over 7 million claims a year.

69 Park Lane, Croydon CR9 1BG, United Kingdom +44 20.8760.7130 | [email protected] | www.goalgroup.com

Vicky Dean, COO & VP of Sales & Relationship Management, Americas +44 7747 758870 | [email protected]

For over 25 years, Goal has delivered award-winning software and services to the financial community to aid them in withholding tax reclamation, ADRs and securities class actions lawsuits. Providing a global service with a local presence, Goal works with financial institutions, private banks and individuals around the world.

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PROFESSIONAL SERVICES

Unit 3, Grand Canal Plaza, Grand Canal Street Upper, Dublin, Ireland, Dublin 4 +353.1.646.2000 | www.accenture.com

Samantha Regan, North American Practice Lead – Regulatory Remediation and Compliance Transformation | [email protected] | 404.790.7378

Accenture is a leading global professional services company, providing a broad range of services and solutions in strategy, consulting, digital, technology and operations. Combining unmatched experience and specialized skills across more than 40 industries and all business functions —underpinned by the world’s largest delivery network—Accenture works at the intersection of business and technology to help clients improve their performance and create sustainable value for their stakeholders. With more than 435,000 people serving clients in more than 120 countries, Accenture drives innovation to improve the way the world works and lives. Visit us at www.accenture.com

120 Broadway, Suite 2720, New York NY 10271 212.370.7000 | www.sebasearch.com

Robert M. Iommazzo, Managing Partner | [email protected] Grant H. Beighley, Director | [email protected]

SEBA International’s Financial Stability practice specializes in functional areas that allow organizations to facilitate and enhance processes, manage risks, and enable growth; these include, but are not limited to, Risk, Compliance/Financial Crime, Analytics, Operations, Legal, and Audit. We focus on the global financial services and technology industries, with offices in New York, London, and San Francisco.

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Generated at: Thu Jan 12 16:44:12 2017

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RESEARCH

470 Park Avenue South, 12th Floor, New York NY 10016 212.340.3840 | www.creditsights.com/research

Lloyd Ucko, Product Manager | 212.340.3889 | [email protected]

CreditSights is a leading, independent voice in the global credit markets offering a comprehensive suite of research solutions capable of meeting a wide range of investment needs. From institutional professionals needing access to our acclaimed analysts, to portfolio managers focusing on specific industries, to advisors catering to the specific needs of their clients, CreditSights covers all bases. Our coverage spans the full credit spectrum from investment grade to distressed, all supported by thematic, macroeconomic and industry commentary and quantitative risk assessment. CreditSights is valued by more than 1,000 clients globally, including many of the investment world’s most recognized institutions.

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SOURCES:

RISK & COMPLIANCE

1370 Broadway, New York, NY 10018 | 212.951.1030 [email protected] | www.acacompliancegroup.com

Damon Zappacosta, Partner | [email protected]

ACA Compliance Group (“ACA”) is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cybersecurity. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks inherent in their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks.

Our products include standard and customized compliance packages; cybersecurity, AML, and risk assessments; GIPS® verifications and other performance services; and a wide variety of business advisory and technology solutions for financial services firms.

1515 South Federal Highway, Suite 306, Boca Raton, FL 33432 www.rrscompliance.com | [email protected]

Louis Dempsey, President 561.368.2245 | [email protected]

Renaissance Regulatory Services (RRS) provides a suite of services from initial business planning to the creation and implementation of compliance programs. Whether you manage an established Broker-Dealer or Investment Adviser firm, or are considering a startup, RRS offers a wide range of services designed to meet virtually every compliance need.

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TECHNOLOGY / SOFTWARE AND SERVICES

212 W 35th Street, New York NY 10001 917.398.0030 | [email protected] | www.appway.com

Purti Mehra, Marketing Manager North America | [email protected]

Appway guides leading financial institutions, both big and small, as they build sustainable and scalable solutions that quickly adapt to changing legal and tax environments. With end-to-end automation and full transparency, Appway Onboarding’s out-of-the-box solution covers all activities related to the client lifecycle, guaranteeing outstanding experiences while ensuring compliance.

201 San Antonio Circle, Suite 245, Mountain View CA 94040 [email protected] | authentic8.com

Emily Worth, Field Marketing Coordinator | 877.659.6535

Founded in 2010 by principals from Postini, Authentic8 is redefining how the browser is used with Silo, a secure, remote browser in the cloud designed to insulate and isolate web data.

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SOURCES:


601 Riverside Avenue, Jacksonville, FL 32204 888.934.3354 | [email protected] | www.fisglobal.com

Joyce Dowling, Solutions Marketing Director 904.438.6339 | [email protected]

FIS empowers investment banks and securities brokers to adapt to market challenges and opportunities, regulatory changes and global complexities to foster increased profitability and competitive advantage. With deep industry expertise across multiple asset classes and geographies, FIS delivers cross-asset solution suites that automate middle- and back-office operations. Our post-trade clearance and settlement solutions integrate with other FIS solutions including investor and advisor platforms, new account onboarding, trading, securities financing, collateral management, corporate actions, and risk and compliance. Through our proven managed services for operations and technology, firms transform the economics, scale and efficiency of their clearing businesses by reducing operational complexity, risk and cost.

333 Thornall Street, 2nd Floor, Edison NJ 08837 | www.fi-tek.com

Kevin Fisher, Senior Managing Director | 732.632.8194 | [email protected]

Fi-Tek is a premier financial technology company with industry leading product solutions catering to the entire lifecycle of Wealth Management and complex Investor Accounting requirements of Hedge Funds & other securities partnerships. Fi-Tek also renders a complete gamut of Operations Outsourcing services leveraging its cutting-edge technology platforms. Fi-Tek has established several long-standing client relationships with a wide spectrum of financial institutions that include Private Banks, Trust Banks, Wealth Managers, RIAs, Hedge Fund Managers & Administrators and Family Offices. Fi-Tek has 450 clients worldwide, ranging in size from $200 Million to $80 Billion, with a combined AUA of over $1.3 Trillion.

| 35



185 Berry Street, San Francisco, CA 94107 888.990.3777 | www.hearsaysystems.com

Hearsay Systems offers leading Advisor Cloud solutions for financial services, empowering advisors to efficiently and compliantly use social media, websites, text and email to engage with customers, build stronger relationships and grow their business. Its prescriptive technology processes and prioritizes data from across digital channels and data systems, providing actionable suggestions for advisors on how they should engage with customers next. Built for the enterprise, Hearsay connects these advisor-client interactions and data to corporate CRM systems and digital marketing programs, and provides efficient compliance supervision and review workflows – all on a secure, enterprise-ready platform.

Hearsay is used by more than 150,000 advisors and agents at the world’s largest financial services and insurance firms. The company is headquartered in Silicon Valley with offices throughout North America, Europe and Asia.

1 New Orchard Road, Armonk NY 10504-1722 800.426.4968 | www.ibm.com/banking

IBM is one of the world’s largest consulting and technology companies with over 100 years of leadership in helping institutions innovate by holistically bridging business and IT strategies. IBM brings deep expertise in all facets of the financial services industry and an understanding of the operating models and business processes that must be redesigned and fused with new technologies to help businesses create new revenue sources and customer experiences while improving operational efficiencies.

36 |

SOURCES:

SIFMA_v3.indd 2 1/30/18 12:53 PM

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Electronics City, Hosur Road, Bengaluru 560 100 India +91 80.2852.0261 | www.infosys.com

Satish Swaminathan, Partner 510.493.8704 | [email protected]

Infosys is a global leader in technology services and consulting. We enable clients in 45 countries to create and execute strategies for their digital transformation. From engineering to application development, knowledge management and business process management, we help our clients find the right problems to solve, and to solve these effectively. We are a team of 200,000+ innovators, across the globe.

535 Fifth Avenue, Floor 4, New York NY 10017 | 1.866.951.2280 [email protected] | mco.mycomplianceoffice.com

MyComplianceOffice (MCO) provides compliance management software that helps companies around the world reduce their risk of misconduct. Our powerful platform enables compliance professionals to demonstrate they are proactively managing regulated activities of the company, employees and third-party vendors. Available as a unified suite or à la carte, our intuitive and extensible SaaS-based solutions feature easily configurable workflows, so clients can get up and running quickly and cost-efficiently. Because we were founded by experts in compliance automation, we educate clients as a valuable part of our implementation to empower them to maximize technology to minimize conduct risk.

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SOURCES:

I CAN READ 300,000 PAGES OF REGULATIONS WITHOUT BLINKING AN EYE.

With Watson, compliance officers can keep up with 20,000 new or modified regulations a year and 200 revisions a day. Ongoing training by Promontory Financial Group, a market- leading risk management and regulatory compliance consulting firm, allows Watson to help companies avoid costly fines and penalties. Learn more at ibm.com/banking

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810 7th Avenue, 25th Floor, New York NY 10019 212.636.0539 | www.nri.com/fit/

Saya Takeda | [email protected]

NRI is a financial system solutions and utility service provider with annual sales exceeding $3.7 billion. Leveraging our consulting expertise, NRI provides ITO service and application suites designed to meet the operational needs of the international financial services community including broker-dealers, asset managers, investment banks, custodians, and fund administrators.

NRI empowers clients with a team of 12,000 skilled IT professionals in more than 40 offices globally.

fs

RegOps Software Solutions

n-Tier

575 Madison Avenue, 10th Floor, New York NY 10022 212.605.0259 | [email protected] | ntierfs.com

Jeff Bergson, EVP | [email protected]

n-Tier is a regulatory-focused software company that helps firms automate the validation processes required to ensure the accuracy and completeness of their regulatory reporting submissions. We provide clients with a RegOps platform coupled with deep regulatory expertise built-up through years of working on regulatory data validation and remediation programs across different brokerage firms. Used by some of the most well-known firms in the industry, our Compliance Workbench provides clients with a sustainable process focusing on 100% validation and auto-correction of each regulatory report. With unique in-depth experience in reporting requirements such as Blue Sheets, OATS, CAT, LOPR and AML, we provide clients with a flexible solution which centralizes the validation process across regulatory requirements.

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SOURCES:


1502 RXR Plaza, 7th Floor, West Tower, Uniondale NY 11553

516.227.6600 | [email protected] | www.openlink.com

Leslie Regino, Director, Marketing | 212.258.1303 | [email protected]

For over 25 years, Openlink (www.openlink.com) has been providing trading, treasury and risk management solutions for the world’s most sophisticated commodity, energy, corporate and financial services organizations. Openlink is proud to support more than 38,000 users working for more than 600 clients, including 13 central banks, 12 of the largest energy/commodity firms, and nine of the largest financial institutions.

40 University Avenue, Suite 200, Toronto, M5J 1T1 Canada 416.955.0514 | www.pricemetrix.com | [email protected]

Patrick Kennedy | [email protected]

PriceMetrix is the first choice in practice management analytics solutions for wealth management firms. Our data and software help financial professionals build great client relationships and great businesses. Powering our solutions is the most insightful and granular retail wealth management database available today, with aggregated data representing 10 million investors, 500 million transactions, and over $5 trillion in investment assets.

| 41



499 Washington Boulevard, 11th Floor, Jersey City NJ 07310 646.452.0050 | www.scivantage.com

Claudine Martin, SVP, Marketing | [email protected]

Scivantage Maxit® is the industry’s most highly automated cost basis solution offering invaluable services such as real-time processing, a variety of delivery methods including web services and direct database access, a powerful administrative suite and tax management tools. Through a highly configurable platform, Maxit enables broker-dealers, mutual funds, custodians and prime brokers to streamline tax and portfolio reporting and deliver a superior client experience, while reducing operational costs and meeting regulatory requirements.

1551 South Washington Avenue, Piscataway, NJ 08854 732.225.6800 | www.shadowfinancial.com

Joe South, President 732.877.6099 | [email protected]

ShadowSuite is the modern day alternative to the products from the old guard of the industry. It is the ONLY post-trade securities processing system that has fully integrated on ONE relational database ALL currencies, ALL asset classes and ALL transaction types. One post-trade system is all you need for middle and back-office regardless of the type of trading organization – the “Best-of-Breed” all on one platform.

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SOURCES:


25178 Genesee Trail Road, Golden CO 80401 303.876.1618 | www.talisystech.com | [email protected]

Talisys is a national software and solutions firm that serves the front and back office teams of brokerages and broker-dealers. Our unique, real-time technology is vital to an industry where data is hard to find and high risk is inherent in a three-day settlement window. Real-Time, Real-Value.

3 Times Square, New York, NY 10036 646.223.4000 | financial.thomsonreuters.com/sales

Thomas Mudd, Front Office Market Specialists, North America 804.239.5787 | [email protected]

Thomson Reuters Wealth Management provides innovative solutions for retail and institutional brokerage firms, financial advisors and individual investors. Empower your advisors with perspectives that go beyond the headlines, and capabilities that add value to client relationships. Thomson Reuters delivers comprehensive work-flow solutions that streamline operations, assist research and investment, and enhance productivity. Our Wealth Management solutions are fully integrated to seamlessly connect your front office applications, back office transaction processing system and investor-facing web platform. From the front to the back office, Thomson Reuters Wealth Management offers best-in-class infrastructure, news and market content to meet your business requirements and delight your customers.

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Three University Plaza, Suite 605, Hackensack, NJ 07601 888.809.9600 | www.totalbanksolutions.com

Steven E. Dear, Senior Managing Director, Head of Sales 201.498.7056 | [email protected]

Total Bank Solutions (TBS) is a privately held technology firm founded to serve the needs of banks and financial intermediaries. Leveraging proprietary technology, our FDIC insured deposit program (IDP) is designed to provide customers extended FDIC insurance and through TBS Bank Monitor, the ability to conduct surveillance of all FDIC insured institutions.

44 |

SOURCES:

Become a reSOURCE.Advertise in SOURCES.

Compiled by SIFMA, Sources is an easy-to-use buyer’s guide of products and services for the securities industry. If you are a supplier of a product or service, advertise in our next edition of Sources.

To participate in the next edition of Sources, download the Sources: A Resource Directory Ad Kit at www.sifma.org/sources

For additional information, contact [email protected]

SIGNATURE EVENTS

VIEW UPCOMING EVENTS AT www.sifma.org/events

SIFMA Annual Meeting: The Capital Markets Conference MANDARIN ORIENTAL, WASHINGTON, D.C. OCTOBER 1-2, 2018

SII 2019 Securities Industry Institute® THE WHARTON SCHOOL, PHILADELPHIA, PA MARCH 3–8, 2019

C&L 2019 Compliance & Legal Society Annual Seminar JW MARRIOTT PHOENIX DESERT RIDGE, PHOENIX, AZ MARCH 24–27, 2019

Private Client Conference THE RITZ-CARLTON GOLF RESORT, NAPLES, FL APRIL 10-12, 2019

Ops 2019 Operations Conference & Exhibition BOCA RATON RESORT & CLUB, BOCA RATON, FL MAY 6–9, 2019

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