We provide US regulatory and compliance support services to SEC, CFTC/NFA, FINRA and exchange regulated financial services organizations
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
We specialize in supporting a variety of funds with regulatory compliance including mutual funds, private funds, hedge funds and private equity funds
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.​
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.
An examination from the regulator puts your operations, compliance arrangements and recordkeeping under intense scrutiny. Would you be ready for one?
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.
28 January 2023 | Americas
The SEC has settled charges against Bloomberg Finance LP for misleading disclosures relating to i...
24 January 2023 | Americas
The SEC has issued a release reminding advisers of the importance of complying with the new marke...
14 January 2023 | Americas
Recovering from a technical malfunction last year regarding its online comment system, the SEC’s ...
10 January 2023 | Americas
Following the publication of its Strategy Plan for fiscal years 2022 through 2026, the SEC has ad...