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 support clients through regulatory registrations, including SEC and NFA, with practical guidance on compliance obligations, documentation, and regulator engagement.
An examination from the regulator puts your operations, compliance arrangements and recordkeeping under intense scrutiny. Would you be ready for one?
We advise clients on a range of requirements including customer due diligence, transaction monitoring, money laundering and fraud.
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.
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31 October 2025 | Americas
The Simpson Thacher & Bartlett relief provides much needed clarity for crypto assets. The SEC allowing state-chartered trust companies to act as crypto custodians expands options for advisers, but the…
30 September 2025 | Americas
“Tokenized securities are still securities.” That was the reminder delivered earlier this year by SEC Commissioner Hester Peirce. For RIAs operating under the Advisers Act, the implication is equally direct.…
10 September 2025 | Americas
While much discussion lately is focused on the SEC’s changing stance – to govern by rule and less by enforcement, there’s still plenty of evidence to demonstrate that firms’ shouldn’t…
27 June 2025 | Americas
The SEC has released its Fiscal Year 2026 Congressional Budget Justification and Annual Performance Plan on May 30th, outlining a forward-looking strategy to enhance investor protection, strengthen market oversight, and…
24 June 2025 | Americas
New SEC leadership is reshaping the agency’s regulatory priorities, scrapping 14 proposed rules from the prior administration on June 12th, 2025, under Chair Paul Atkins. The mass withdrawal marks a…
11 June 2025 | Americas
NEWSLETTER: Cryptocurrencies and stablecoins have been constants on the US political agenda for several years, with sporadic bipartisan interest but no major legislation being agreed. The GENIUS Act, however, might…
29 May 2025 | Americas
Efforts to regulate cryptocurrencies and stablecoins have been percolating in Washington for several years, with sporadic bipartisan interest but no major legislation reaching the finish line. With the final enactment…
FinCEN is finalizing its new anti-money laundering (AML) regulations, aimed at mitigating illicit finance risks within the investment adviser sector. Registered Investment Advisers (RIAs) and Exempt Reporting Advisers (ERAs) must…
12 May 2025 | Americas
NEWSLETTER: It’s clear the SEC is continuing to make strides in crypto regulation, with its recent $198 million fraud charge against PGI Global’s Founder and three new developments that are…
24 April 2025 | Americas
If your advisory firm touches digital assets, one of the single largest regulatory questions is still “Who is allowed to hold the keys?” Under the current Custody Rule (Rule 206(4)-2),…
April 2025 – A leadership transition and sweeping reorganization at the SEC are reshaping the regulatory landscape. With Paul Atkins confirmed as Chair and the agency consolidating its regional structure,…
9 April 2025 | Americas
NEWSLETTER: Crypto and digital assets are still high on the regulator’s agenda, with the landscape continuing to evolve rapidly under the new administration. The recent $1.5 billion theft from Bybit’s cold…
