In an ever-complex regulatory world, clients rely on us to help them manage all aspects of regulatory risk. Bovill Americas delivers a range of regulatory compliance services to investment advisers, broker/dealers, CFTC/NFA registered firms, registered and unregistered funds and exchanges.
- 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.