Thompson Finance

Thompson Finance Expert was designed to help achieve and maintain compliance with all applicable securities laws and regulations providing the latest SEC and CFTC regulations, enforcement practices and policies, court decisions and risk prevention procedures for investment management and private equity firms — all created to help prevent costly fines and penalties.

Investment Management Compliance Guide Trial

Start your trial of Thompson's Finance Expert Investment Management Compliance module now

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Private Equity Compliance Guide Trial

Start your trial of Thompson's Finance Expert Private Equity Regulatory Compliance module now

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Election Aftermath: 2016-2017 Investment Management Compliance Outlook

Learn more about the incoming administration and the effects it will have on Investment Management Compliance.

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