ROTH Capital Partners is a full-service investment banking firm, specializing in the small and micro-cap markets. ROTH’s corporate headquarters are located in California, with six offices in the US and one in Hong Kong.
Roth provides a full spectrum of investment banking services, including capital raising, research coverage, trading & market making, mergers & acquisition advisory services, and investor conferences.
ROTH uses ECG to comply with SEC Rule 17a-4. Using ECG, Roth has been able to centralize all communications for governance & compliance archiving purposes and have complete control over message lifecycles.
Since adopting ECG over two years ago, Roth has not experienced any audit warnings on compliance management relating to supervisory review.
Verticals: Finance, Legal