Services

  • Mock Regulatory Examinations
  • Examination Preparation
  • Annual Compliance Review
  • Internal Investigations
  • SEC/CFTC Enforcement Actions
  • Strategic Public Relations
  • Crisis Management
  • Asset Portfolio Review
  • Qualitative Asset Valuation Methodology Review
  • Risk Management Review
  • Due Diligence
  • Regulatory Filings
  • Business Plan Development
  • Corporate Governance Review
  • Organizational Structure
  • Compliance Program Development
  • Risk Assessments
  • Omnibus Account Diligence
  • Securities and Commodities Regulations
  • Foreign Corrupt Practices Act
  • Anti-Money Laundering Laws
  • Bank Secrecy Act
  • Foreign Agent Registration Act
  • Foreign Anti-Corruption Laws
  • Foreign Sovereign Imunities Act
  • Know Your Client Rule
  • UK Bribery Act
  • Import-Export Laws
  • National Security Reviews
  • Comparative Law and Regulation Analysis
  • International Treaties and Agreements