• We work with firms to get the necessary approvals to start a business. Our team of experienced professionals can help navigate the multi-faceted SEC, FINRA, NFA and CFTC filing processes.
  • We help clients interpret and implement new regulatory requirements.
  • We work with clients to develop and implement a comprehensive compliance program based on your specific business model and complexity.
  • We assist with client’s regulatory reporting obligations
  • We advise firms on preparing for and managing regulatory examinations and inspections.
  • We help design and deliver training programs to raise awareness and compliance with laws, rules, industry principles and best practices.