US Compliance Solution

Our US Compliance Services team has over 20 years of experience in complex financial services organizations. We specialize in providing invaluable expertise and guidance on regulatory compliance programs for esteemed regulatory bodies such as the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), and various exchange regulatory requirements. With a deep understanding of the intricate compliance landscape, we assist clients in navigating the ever-evolving regulatory environment. Our team stays up to date with the latest regulations and industry best practices, ensuring that our clients' compliance programs are robust, efficient, and aligned with regulatory expectations.

Our Area of Expertise

SEC Registration

Our professionals provide high-touch company registration and authorization services for the Securities Exchange Commission and the Commodity Futures Trading Commission.

Broker-Dealer Programes

Our team helps in determining suitable routes for developing compliance program templates like Standard Operating Procedures (SOPs), Compliance Manuals, Risk Assessments, and Testing.

CTA/CPO Compliance Solutions

We support your organization in keeping up with regulatory requirements surrounding future professionals, ensuring compliance and fostering a seamless transition into a changing industry landscape.

Private Equity/Venture Capital Compliance Solutions

Private Equity/Venture Capital Compliance Solutions help firms manage the risks associated with investing in these asset classes.