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?
Regions
Date
15 May 2024 | Americas
29 Feb 2024 | Americas
07 Nov 2023 | Americas
21 Sep 2023 | Americas | Online
27 Feb 2023 | Americas
22 Sep 2022 | Americas | Online
08 Jun 2022 | Americas | Online
20 Apr 2022 | Americas
14 Mar 2022 | Americas | Online
22 Apr 2021 | Americas | Online
24 Mar 2021 | Americas | Online
