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
  - Implementing the new SEC Marketing Rule
  - 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
  - Ongoing support
    - Ongoing support
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

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Adviser consulting

Broker/dealing consulting

SEC Mock Exams

Latest insights

12 September 2023 | Americas

SEC Risk Alert demystifies exam focus

September’s Risk Alert gives some useful insights into how the SEC chooses which firms to examine and which topics to focus on in those examinations. If you operate a US-regulated…

7 September 2023 | Americas

US Newsletter | August 2023

NEWSLETTER: The biggest news this month is the publishing of the final rules for private advisers. Intended to increase transparency for investors, particularly of funds which enter side letters and…

31 August 2023 | Americas

Fund administrator charged for missing red flags

Earlier this month, the SEC announced that it would be assessing Theorem Fund Services LLC (TFS) over US$120,000 in fines for failing to properly respond to red flags against a…

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