We help financial firms and other securities market participants efficiently comply with SEC, FINRA, FCA and other non-U.S. rules and regulations applicable to the securities industry. We also have deep expertise advising firms on the launch of new traded products, market structure, and regulatory trends, as well as significant experience in serving as court-appointed and independent compliance consultants in response to enforcement actions.
Broker-dealers and trading firms
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We advise clients on cutting-edge strategy and risk management challenges. See what we can do for you.