We have a tremendous amount of financial services experience in risk management, compliance, legal, regulatory, executive, and operational capacities, so you can count on us to be your champion and provide you with the solid advice and representation you deserve.
Compliance and Regulatory Consulting
Expert Witness/Litigation Support
Our extensive hands-on experience in all aspects of operating FCMs and broker-dealers allows us to assess business situations and effectively communicate and articulate on your behalf, whether forensically or to confirm tactical compliance with your obligations.
A crisis in your business is not just daunting - it can put you out of business for good. To effectively respond and protect yourself, you need to be able to formulate a plan and communicate to all constituencies sooner rather than later. Our experience and plan frameworks can help you through crisis situations.
Perform Independent Testing
Test policies and procedures to confirm compliance with regulatory obligations.
Draft Written Supervisory Procedures
Design and write compliance, risk management, and operational policies and procedures
Review and Analyze Cybersecurity Policies and Procedures
Advise and recommend courses of action for compliance with NFA Cybersecurity obligations that must be in place on March 1, 2016.
Monitor Progress on Regulatory Initiatives
Certify progress and independently monitor undertakings.
Whether you need review and/or analysis of compliance, risk management or operational supervisory policies and procedures, or if you just need advice on a specific regulatory matter, we can put our 25 years of experience to work for you.