Bovill Americas

About
Sectors
- - Advisers
    - Advisers
      
      We provide US regulatory and compliance support services to SEC, CFTC/NFA, FINRA and exchange regulated financial services organizations
  - Broker-dealers
    - Broker / dealer
      
      We provides comprehensive US broker/dealer consulting registration services to companies looking to form a new broker/dealer, acquire an existing firm or expand their business activities
  - Funds
    - Funds
      
      We specialize in supporting a variety of funds with regulatory compliance including mutual funds, private funds, hedge funds and private equity funds
  - NFA members
    - NFA members
      
      Our Commodities and Derivatives team advises FCMs, introducing brokers, CPOs, commodity trading advisors, and proprietary trading firms. We also represent domestic and foreign exchanges, derivatives clearing organizations, and swap execution facilities.
  - Other sectors
    - Other sectors
      
      We support a wide variety of regulated firms from our offices in Chicago and New York, and can call on specialist sector knowledge from our colleagues across the world.
Services
- - Adviser consulting
    - Adviser consulting
  - Broker/dealing consulting
    - Broker/dealing consulting
  - Commodities & derivatives
    - Commodities & derivatives
  - Financial crime / anti-money laundering
    - Financial crime / anti-money laundering
  - Outsource CCO
  - Regulatory due diligence services
    - Regulatory due diligence services
  - Mock exams
    - Mock exams
      
      An examination from the regulator puts your operations, compliance arrangements and recordkeeping under intense scrutiny. Would you be ready for one?
    - SEC mock exams
    - NFA mock exams
Insights
People

Helping you navigate financial regulation

With offices in New York, London, Singapore and Hong Kong, we're local specialists with global reach. When it comes to financial regulation, we've been helping our clients do the right thing for 20 years.

About us

Featured services

Adviser consulting

Broker/dealing consulting

SEC Mock Exams

NFA focus: what recent updates mean for Members

08 Jun 2022 | Americas | Online

Webinar 10:00 EDT The NFA’s Regulatory Workshop at the start of June will give members a clearer view of the Association’s priorities as hybrid work becomes the new norm. Like…

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Latest insights

5 May 2022 | Americas

US Newsletter | April 2022

NEWSLETTER: A highlight this month was welcoming so many people to our webinar on the SEC’s Exami...

29 April 2022 | Americas

Fund manager fine: Do you have control of your controls?

The recent action against a hedge fund CIO serves as a reminder not only to ensure that your comp...

29 April 2022 | Americas

SEC proposes change to definition of “dealer”

The SEC’s latest proposal could force more individuals to register as broker dealers and have a s...

28 April 2022 | Americas

SEC reminds firms to track sources of data as part of Code of Ethics

Advisers should consider all potential sources of information and monitor for misuse of MNPI on a...

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Mock exams