HOUSTON -- April 4, 2017
TPG Software Inc. and COMPASS Regulatory and Compliance Advisers, LLC. announced a strategic partnership, which will provide TPG Software's customers (banks, broker dealers and REITS) with experts in the field of compliance.
COMPASS Regulatory and Compliance Advisers serves broker-dealers, banks, investment advisers and investment companies. The Firm advises financial institutions on regulatory and compliance matters, implementing compliance best practices, compliance program development, policy and procedure revision, forensic testing and monitoring, on-site training, governance processes and reporting, investment company regulations, Banking regulations, Broker-dealer and Investment Adviser registrations, anti-money laundering policies, procedures and enforcement remediation and enforcement legal support. The Firm has successfully negotiated settlements and changed the direction of regulatory examinations conducted by the FED, SEC and FINRA, and other Federal and State regulators.
Regarding the strategic partnership, Gary Swiman, President of COMPASS Regulatory and Compliance Advisers, said “We are excited to collaborate with TPG Software and its customers to deliver our Compliance services. COMPASS executes a practical plan designed to assist financial institutions through regulatory challenges related to registration, rule changes, regulatory actions and overall regulatory and compliance needs. Through a proven tailored approach, COMPASS’s team of experienced professionals will partner with your Firm to meet both your tactical and strategic compliance needs. We have a straight forward philosophy on how we tailor each assignment; we treat your business as if it were our own. We have a staff of experts who work quickly with minimal disruption to your business and, because of our model, cost our assignments aggressively.” For more information about COMPASS, please visit http://www.compassadvisers.net.