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.
5 March 2024 | Americas
NEWSLETTER: While action from the SEC is predictably quiet this quarter, we’re working with a lot of our clients on building an underlying culture of compliance. They can be easy…
29 February 2024 | Americas
In the private fund world, audits are a necessary control to have a third party review your fund’s financial information and validate to your stakeholders that your fund is functioning…
The SEC has announced that they would be charging 16 firms with widespread and longstanding failures to maintain and preserve electronic communications. These situations highlight the importance of maintaining records…