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, 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.
Ocorian provides US regulatory and compliance support services to SEC, CFTC/NFA, FINRA and exchange regulated financial services organization including:
31 October 2025 | Americas
The Simpson Thacher & Bartlett relief provides much needed clarity for crypto assets. The SEC...
30 September 2025 | Americas
“Tokenized securities are still securities.” That was the reminder delivered earlier this year by...
10 September 2025 | Americas
While much discussion lately is focused on the SEC’s changing stance – to govern by rule an...
