Global Compliance Associates, LLC Information

Global Compliance Associates, LLC ("GCA") has over 20 years of experience designing innovative and cost effective solutions to address regulatory and operational risk management issues for broker-dealers, asset and investment managers, hedge funds, and health care clients. GCA is dedicated to providing its clients with expertise from professionals with proven track records of success leading risk and compliance programs at world class institutions. Global Compliance Associates specialize in: o 1940 Act Compliance o FINRA broker-dealer compliance o Operational Risk Management o Sarbanes-Oxley o Information Security internal controls o Trade Operations and Complex Securities o Personal Customer Information (PCI) controls o Business Contingency Management o Anti-Money Laundering. Global Compliance Associates understand that risk is a natural by-product of conducting business. GCA works with clients to design solutions that allow you to manage risks and optimize upside potential using industry leading concepts from diverse disciplines such as; behavioral economics, risk management, compliance, and lessons learned from real-time experience. Global Compliance Associates practice leadership: * Board Advisory Practice * Financial Services Practice * Governance, Risk & Compliance Practice * Webinar Training