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Barge Consulting Selects BasisCode Compliance Software Platform

Traders Magazine Online News, January 28, 2019

John D'Antona Jr.

Barge Consulting, LLC (, which specializes in SEC consulting services under the Investment Advisor and Investment Company Acts of 1940, has adopted BasisCode Compliance LLC’s software platform to improve and streamline compliance management for its investment management and advisor client base.

Based in Atlanta, Barge Consulting provides SEC consulting services to a diversified client base consisting of pension consultants, investment advisors, hedge funds, investment companies, private equity firms, plan sponsors, family offices and fund of funds. The 20-year old firm is led by Marvin Barge, a former SEC examiner with over three decades of regulatory experience.

BasisCode Compliance ( is the industry’s most comprehensive software platform that improves compliance management for financial firms, compliance consultants, law firms and other service providers. The software simplifies and centralizes compliance management, ranging from compliance testing and risk assessment to trading surveillance, insider trading and staff certifications. The rules-based engine makes it easy for users to modify workflow logic throughout the compliance management lifecycle. 

“From the firm’s inception in 2000, our mission has been to serve as an extension of our clients’ compliance team and work side-by-side with them to ensure the highest quality of service and counsel. Our decision to partner with BasisCode Compliance was based on what we determined to be the most robust and functional platform out there backed by a solid service team. We reviewed a number of competitive compliance systems and chose the BasisCode platform because of its ability to more efficiently manage multiple relationships and enhance our productivity as well as of our clients,” said Marvin Barge, president and founder of Barge Consulting.                  

Compliance departments and officers are facing greater scrutiny than ever before as the regulatory environment continues to evolve and becomes increasingly difficult to navigate. BasisCode Compliance centralizes the industry's broadest range of functionality within a single platform, increasing compliance management processing visibility. The BasisCode Compliance dashboard displays a consolidated inventory of a firm’s program while the BasisCode Compliance portal engages consultants and supervisors, as well as non-supervisory staff, in maintaining a culture of compliance. 

“Our innovative platform and the new BasisCode dashboard provide registrants and consultants with more powerful tools to reduce compliance risk while enhancing the quality of their compliance programs,” said BasisCode Compliance president and CEO Carlos Guillen. “Our new partnership with Barge Consulting validates our leadership as the industry's most extensive, integrated and advanced compliance management software available.”

Recently, BasisCode CEO, Carlos Guillen, moderated a webinar hosted by the National Society of Compliance Professionals (NSCP) which brought together leading compliance professionals and consultants who shared insights on how to best utilize compliance consultants. The expert panel explored issues regarding when to hire a third-party compliance consultant; what types of work can be done; how to evaluate consultants; and differences between a fully-outsourced consulting relationship versus project support. Here is a link to the webinar-on-demand:



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