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
Insights
People