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Mission Statement

Experience

Strategic Affiliations

EXPERIENCE

Compliance International, LLC has significant employment and industry experience with the following types of entities:

COMPANIES:

Broker/Dealers

Investment Advisers

Investment Companies

Stock Exchanges

Securities Derivatives Exchanges

Foreign Currency Options Exchange

Securities Depositories

Securities Clearing Corporations

Securities Compliance Industry Associations

Investment Banks

Commercial Banks

Bank Industry Associations

Trust Companies

Credit Unions

Investment Product Manufacturers

Discretionary Asset Managers

Hedge Funds

Insurance Companies

Insurance Agencies

Law Firms

CI staff has held positions with multiple financial services firms and other entities in the following roles:

ROLES with ENTITIES

Board of Directors Member

Chief Executive Officer ("CEO")

Chief Compliance Officer ("CCO")

Chief Operations Officer ("COO")

Chief Legal Officer ("CLO")

General Counsel-US & UK Operations

General Counsel

Executive Vice President

Senior Vice President

Compliance Officer

Counsel

Business Conduct Committee Chairperson

Audit Committee Chairperson

Compliance Registered Options Principal

NASD Industry Arbitrator

NASD District Committee Member

NASD Hearing Panel Participant

Investment Adviser Certified Compliance Professional ^sm

Industry Association Focus Group Member

Lecturer for The Center for International Legal Studies

CI staff has significant experience in working with the following regulators:

REGULATORS

Securities and Exchange Commission ("SEC")

Financial Industry Regulatory Authority ("FINRA"), previously known as

National Association of Securities Dealers ("NASD")

Federal Reserve Bank ("FRB")

Office of Thrift Supervision ("OTS")

Office of the Comptroller of the Currency ("OCC")

Federal Deposit Insurance Corporation ("FDIC")

UK Financial Supervision Authority ("UK FSA")

Finnish Financial Supervision Authority ("Finnish FSA")

U.S. Patent & Trademark Office ("USPTO")

U.S. Copyright Office

State Securities Commissions

State Insurance Commissions

Other Regulatory Authorities

CI brings a world of insight to your business. CI looks forward to demonstrating why a relationship with CI is the Right Choice.