• Reduced Costs Due to Outsourcing
• Flat Fee (Bulk Discount Rates Available)
• Exemption Specialists

INTERESTED IN AUTOMATION?

• Customized Reporting
• Internet based Multiple Licensing System
• System Generated Federal and State Filings
• Automated Tickler
• Check Drafting
• Registered Agent Tracking

IS CONTINUING EDUCATION AN ISSUE?

• Scheduling Exams
  • Date, Time and Location
• Study Materials Available
• Refresher Courses
• Tracking Continuing Education Requirements
• Waiver Requests
• Alternative Licenses

NEED A COMPLIANCE MANUAL?

• Business Specific or General Drafts
• Waiver and Exemption Availability
• Optional Media
  • Electronic, Paper or Both

HOW ABOUT IN-HOUSE COMPLIANCE?

• Compliance Officers
• Principals
• Financial Reporting
• Back Office Procedures

KEEPING UP WITH YOUR FOCUS REPORTS?

• Federal and State Filing Requirements
• On-Site Preparation and Training

WANT TO STAY CURRENT WITH THE INDUSTRY?

• Alliances with Industry Trade Groups
• Attend Industry Conferences and Publications
• Daily Contact with Federal and State Agencies

IS CLIENT SERVICES A PRIORITY?

• Individual Account Manager
• Cross Trained, Experienced Staff is Always Available
• Internet Services
• No Delays for Programming Requests
• Monthly Newsletter
• Annual Conference
• "news flash…" for news breaking events

ADDITIONAL OUTSOURCING

• Coordinated Activity
• Automated Inter-Activity
• MUTUAL FUNDS
• INVESTMENT ADVISORS
• PRIVATE OFFERINGS
• RESEARCH & DEVELOPMENT
• PUBLIC OFFERINGS