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.
We have developed a five-pillar compliance model to help private equity managers establish and adhere to solid compliance protocols.
Our team can help you navigate the multifaceted SEC and FINRA application processes as well as state registrations.
Our commodities and derivatives practice encompasses exchange-traded and over-the-counter derivatives across all asset classes and transaction types.
We advise clients on a range of requirements including customer due diligence, transaction monitoring, money laundering and fraud.
An examination from the regulator puts your operations, compliance arrangements and recordkeeping under intense scrutiny. Would you be ready for one?
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30 September 2024 | Americas
In recent enforcement actions by the SEC, seven public companies were charged with violating whistleblower protection rule and were required to pay civil penalties as a result. The fines imposed…
We are nearing two years since the adoption of the SEC’s long overdue update to rule 206(4)-1, or the Marketing Rule. And what has previously been referred to as the…
4 September 2024 | Americas
NEWSLETTER: Being the subject of an SEC examination isn’t an experience many firms forget. We look at how mock examinations can prepare your people and uncover aspects of your compliance programme that…
23 August 2024 | UK & Europe
For firms operating in the UK and US, or seeking to expand on the other side of the Atlantic, navigating the regulatory frameworks across jurisdictions can often be complex due…
22 August 2024 | Americas
Across our client base it’s fair to say no two organizations – and no two CCOs – are alike. But there are themes we see time and time again. All…
5 August 2024 | Americas
NEWSLETTER: If we ever needed a reminder of just how much we’re reliant on technology, the recent CrowdStrike global IT outage is a sharp reminder of what can go wrong.…
31 July 2024 | Americas
The decision by the U.S. Court of Appeals for the Fifth Circuit to vacate the SEC’s Private Fund Adviser Rules has sent ripples through the investment advisory community. This ruling,…
The SEC continues to hit firms with fraud related fines, reminding firms to remain vigilant, ensuing processes, procedures and behaviors are up to scratch to avoid financial and reputational damage.…
Earlier this month, the SEC charged Silvergate Capital Corporation, its former CEO, and its former CRO for misleading investors about the strength of the firm’s Bank Secrecy Act / Anti-Money…
31 May 2024 | Americas
The SEC’s recent charge against the Intercontinental Exchange and nine affiliates highlights the regulator’s focus on cyber security breaches around consumer information. These actions make it crucial for investment advisers…
The SEC has proposed significant amendments to its custodial oversight rules. Seeking to increase asset protection, these changes also bring with them a number of implications for safeguarding assets, with…
17 May 2024 | Americas
The SEC has adopted significant amendments to its Regulation S-P, enhancing protections for consumer financial information. This aims to ensure firms have robust customer information safeguards are in place and…
