Spring 2012 Compliance Conference

Battea is an outsourced provider of the industry’s leading securities class action settlement recovery service. Battea streamlines the complex securities class action claims filing process for financial institutions utilizing our proprietary Claims Engine ®, a trade analysis database. Battea maximizes settlement recoveries while providing unparalleled transparency via online case tracking/reporting tools.

ProxyEdge^® is the internet tool that helps you streamline proxy voting. Manage, track, reconcile and report your proxy voting through electronic delivery of ballots, online voting, integration of vote research and recommendations and SEC compliant record keeping. ProxyEdge^® helps reduce the time, paper and effort associated with the proxy process.

Schwab Designated Brokerage Services, a segment of Charles Schwab & Co., Inc. (Member SIPC), the registered broker-dealer, is committed to meeting the high standards that corporate compliance departments expect. With more than 17 years of experience and a roster of over 700 corporate clients, we are a market leader in providing employee trade surveillance technology to financial firms. We offer comprehensive, cost-saving solutions that can reduce the manual processes and mitigate the risk associated with companies monitoring employee securities trading. Our trade surveillance technology solutions include Schwab Trade Rules™, a ground-breaking web-based application that can proactively block restricted trades that are not compliant with your firm’s employee trade monitoring policy. Plus, with Schwab, your employees have access to a full suite of investment products and services to help them achieve their financial goals. To learn more, call 1-877-589-4276 or visit designatedbrokerage.schwab.com today.

Financial Recovery Technologies is a technology-based services firm that helps institutional investors identify, file claims and collect funds made available in securities class action settlements. Offering the most comprehensive range of claim filing services available, the firm excels by providing best-in-class eligibility analysis, disbursement auditing and client reporting, and by delivering the highest level of accuracy, accountability and transparency available. For more information, please visit www.frtservices.com.

Global Relay is the market leader in compliance messaging and message management, including archiving, audit, eDiscovery and supervision. Global Relay is FINRA’s Compliance Resource Provider for Message Archiving. Global Relay’s 15,000 customers include broker-dealers, hedge funds, investment advisors, private equity, public companies and 22 of the top 25 global banks.

Lowenstein Sandler's Investment Management group, named among the nation's preeminent practices for its representation of hedge funds and private equity funds in "Best Law Firms," published by U.S. News and Best Lawyers, represents more than 200 domestic and offshore hedge funds, private equity funds, venture capital funds and other pooled investment vehicles as well as leading private investment market participants.

Mesirow Financial is a diversified financial services firm headquartered in Chicago. Celebrating its 75th anniversary this year, the firm remains independent and employee-owned with approximately 1,200 employees globally. The Insurance Services Division offers comprehensive risk management services and is among the top 25 insurance brokerages in the nation.

Morris, Manning & Martin is a national, full-service law firm committed to maximizing clients' results. MMM’s Fund & Alternative Investments practice utilizes an interdisciplinary approach to serve the wide ranging needs of fund managers and other investment advisers, including regulatory and compliance advice, litigation and product development matters.

The National Society of Compliance Professionals, Inc.(NSCP) is the only membership organization exclusively serving the securities compliance profession. NSCP is THE source for information, education, certification, networking and advocacy. NSCP's diverse membership includes over 1880 professionals at investment advisers, broker-dealers, insurance companies, investment companies, hedge funds, and banks, as well as the law, consulting and accounting firms who serve them.

RegEd provides a full range of solutions that provide firms with cost-efficient ways to manage contracting, insurance licensing, securities registration, advertising review compliance, audit management, annual compliance meetings and compliance and operational risk management. RegEd serves 1300+ clients including broker/dealers, investment advisers, banks, insurance carriers, brokers and other financial institutions.

Founded in 1999 by IT veterans from the banking industry, RethinkIT is a boutique IT services provider with particular expertise in compliance solutions. We tailor a complete IT platform that gives you stable technology solutions. We provide design, deployment, monitoring, backup & disaster recovery, social media solutions, project management, 24x7x365 support and more.

Sidley advises a wide array of traditional and alternative asset managers of all types with respect to transactional, registration, regulatory and compliance issues. In 2011 and 2010, Sidley received first-tier national rankings for its Private Funds / Hedge Funds, Derivatives & Futures and Mutual Funds Practices in the U.S.News - Best Lawyers “Best Law Firms” survey.

Smarsh® provides hosted solutions for archiving electronic communications, including email, instant messaging and social media platforms such as Facebook, LinkedIn and Twitter. Founded in 2001, the company helps organizations manage and enforce flexible, secure and cost-effective compliance and records retention strategies.

Vedder Price is a general practice law firm of 265 attorneys with offices in Chicago, New York, Washington, DC and London. Vedder Price enjoys a world-class reputation in key practice areas and serves clients of all sizes in virtually all industries with a responsive, results-oriented and cost-effective approach.