Compliance Science - Regulatory Compliance Software - C-TRAC™, CSI DocVault™ and PTCC™

ADVISORS -

OCIE Exams • PERSONAL TRADING • Mock Audits • GIPS Audit • Annual Compliance Review • Form ADV Part I & II • SAS 70 • Business Continuity Plan • Regulatory Correspondence • Code of Ethics • FOIA Exempt Documents • Privileged Communications • Client Complaints • Marketing Materials • Policies and Procedures • Board Minutes • No Action Letters • Investment Management Agreements • SubAdvisory Agreements

B/D's -

NASD & NYSE Exam requests • Annual OSJ Audit • Arbitrations • Best Execution • Branch Office Audits • Business Continuity Plan • Compliance or Supervisory Bulletins or Memos • Customer Complaints • Deficiency Letters • Form BD • Licensing • Web CRD Administration • Written Supervisory Procedure Checklist • Regulatory Correspondence • 3012/3013 Certifications

HEDGE FUNDS -

Subscription Agreements • Redemption Request Forms • PERSONAL TRADING • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • Side Letters • Soft Dollars • Proxy Voting • Disclosure Documents • Fund Documents • ISDA Agreements • Prime Broker Agreements • Service Provider Agreements

INVESTMENT COMPANIES -

38a-1 Oversight • PERSONAL TRADING • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • SAI • Board Minutes • Proxy Voting • Disclosure Documents • Fund Documents • Prospectus • Service Provider Oversight • Employee Manual

Compliance Science, Inc.
386 Park Avenue South
Suite 1650
New York, NY 10016
(212) 327-1533

Compliance Science is registered with the Department of Commerce as compliant with the EU/US and Switzerland/US Safe Harbor

We self-certify compliance with

Compliance Science provides secure, scalable solutions for:

• Investment Advisors
• Broker/Dealers
• Dual Registrants
• Hedge Funds
• Private Equity Firms
• Venture Capital Firms
• Investment Banks
• Investment Companies

Whether you are an investment advisory firm with $500 billion in assets under management struggling to provide plan sponsors and fund companies with attestations or a regional broker/dealer looking for a way to supervise staff and conduct branch audits, we have implemented cutting edge technology to help manage your legal and compliance risk. All of our products are built on an open platform allowing users to have the optimal combination of standard functionality customized to their specific needs.