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COMPLIANCE/ LAWFIRMS
MARKETCOUNSEL CONSULTING
MARK by MarketCounsel provides a customized compliance application that allows firms to focus on what affects them. The application is constantly evolving and improving. Here are enhancements that have recently launched. The application provides a clear path for all staff to attest to compliance. In addition, staff can launch reviews such as outside business activity permission. The firm can set up teams that can be involved with certain tasks based on MARK by MarketCounsel
their job responsibilities. For example, someone in trading can be involved in best execution tasks but left out of cybersecurity tasks. Improved tags and categories that allow for better and quicker customization of tasks launched for advisors. A new task can be created, customized and launched as quickly as content can be drafted.
MarketCounsel Consulting is the leading business and regulatory compliance consultancy to the country’s preeminent independent investment advisers throughout all stages of their lifecycle. From its roots in 2000, MarketCounsel has been steadfast in its mission to deliver solutions to the most substantial challenges faced by entrepreneurs in this fast-growing and highly regulated industry and it has emerged as one of its most effective advocates. From the initial launch of an adviser to its award-winning regulatory compliance management platform, and from its business growth to its time-tested succession strategies, MarketCounsel consistently delivers trusted counsel within an extraordinary service experience by leveraging the industry’s finest minds, the most advanced technology and sound business processes.
marketcounsel.com
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WealthManagement.com
*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.
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