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Expert support. Precisely when—and how—you need it.
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Elevate compliance standards and empower leadership to focus on growth—outsourcing your CCO role brings deep expertise without distraction.
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Compliance help that adapts to your business—not the other way around.
Product Description
About this Product
Comprehensive compliance management & outsourced compliance solutions:
- Customized solutions tailored to your firm’s specific needs
- Ongoing & project-based services staffed by tenured experts
- Integrated compliance technology to support service delivery
About Confluence Technologies
Confluence offers comprehensive compliance management solutions tailored to your needs. From initial registration to evaluating or outsourcing your current program, our team of experts is dedicated to developing solutions that work for your unique business. Our proprietary technology platform supports our solutions. Confluence Compliance Services provides consulting and outsourcing solutions to help investment advisers meet their compliance and regulatory needs. Services are delivered by regulatory experts, including former Chief Compliance Officers and regulators. Solutions range from initial registration assistance to full outsourced Chief Compliance Officer contracts. Consulting services include mock SEC exams, annual compliance reviews, targeted compliance reviews, risk assessments, new registrations, compliance program development, implementation of new rules, and remediation of prior deficiencies. Outsourced services include managing regulatory filings, electronic communications surveillance, code of ethics management, marketing reviews, trade analytics, and compliance training.
Product Details
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Integration Capabilities
Serving RIAs Since
Discount for Schwab Clients?
0719-93C0
API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® is a service of PTI.
References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.
Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.