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Sectors
- - Advisers
    - Advisers
      
      We provide US regulatory and compliance support services to SEC, CFTC/NFA, FINRA and exchange regulated financial services organizations
  - Broker / dealer
    - 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.
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Bovill Americas > Sectors > Other sectors

Other sectors

Bovill provides US regulatory and compliance support services to SEC, CFTC/NFA, FINRA and exchange regulated financial services organization including:

Banks
Exchanges
Swap Execution Facilities

Latest insights

27 November 2020 | Americas

US Newsletter | November 2020

Happy Thanksgiving to all of our clients and friends. US regulators have remained busy leading in...

23 November 2020 | Americas

New Risk Alert outlines common compliance failings

The OCIE’s latest Risk Alert makes it clear the SEC expects more from Chief Compliance Officers. ...

20 November 2020 | Americas

Final Rule seeks to harmonize and improve exempt offerings

The SEC has released a Final Rule adopting amendments to facilitate capital formation and increas...

Advisers

Broker / dealer

Funds

NFA members

Other sectors

Adviser consulting

Broker/dealing consulting

Commodities & derivatives

Financial crime / anti-money laundering

Outsource CCO

Regulatory due diligence services

SEC Mock Exams

Other sectors

Latest insights

US Newsletter | November 2020

New Risk Alert outlines common compliance failings

Final Rule seeks to harmonize and improve exempt offerings

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Other sectors

Latest insights

US Newsletter | November 2020

New Risk Alert outlines common compliance failings

Final Rule seeks to harmonize and improve exempt offerings