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 March 2024 | Americas
Since the implementation of the Dodd-Frank Act in 2010, private fund managers have seen the steady evolution of regulation governing their products. Alongside the recently proposed AML/CFT regulations, recent developments…
The SEC has taken action against two investment advisory firms, Delphia and Global Predictions, for false and misleading marketing statements around their use of AI. The action underscores a growing…
The SEC has announced a new Climate-Related Disclosure rule to help standardize environmental reporting impact. Albeit scaled back from initial proposals, the rule moves the US towards more consistent and…