Strategic Regulatory Advice
Providing unparalleled strategic advice to help our clients overcome regulatory challenges so they can focus on innovation, competition, marketplace developments, and profitability
Risk Management & Compliance
Providing risk management and compliance services to enhance competitiveness
Enforcement & Litigation Support
Regulatory enforcement and litigation support to offer industry expertise
Strategic public policy perspectives
Patomak taps its expertise and experience to provide strategic advice to clients on how to best position issues before the public and policymakers in Washington, DC and globally. We assist clients in understanding new legislation and regulations as well as strategic threats – and opportunities – presented to their businesses by those changes. In addition, Patomak can advise on educating the public and stakeholders about key policy issues, as well as produce thought leadership pieces, including whitepapers and research, to help inform the debates on policy issues.
Domestic and international regulatory developments
Patomak provides early and accurate insights about impending regulatory and legislative actions in the U.S. and globally and their impacts to business operations, and produces regular regulatory update memoranda tailored to specific client needs.
Compliance Program Creation
We assist in creating customized compliance programs for investment advisers, broker–dealers, and other firms, including developing policies, procedures, and internal controls.
Compliance Program Review
We perform comprehensive compliance reviews to identify firm-wide compliance control weaknesses or gaps in specific business areas. Focused reviews include: compliance culture and “tone at the top”; conflicts of interest and Code of Ethics; supervisory procedures; surveillance systems; portfolio management and trading; compliance with client investment guidelines; insider trading policies and procedures; advertising and sales practices; outsourcing and service provider due diligence; and the Foreign Corrupt Practices Act.
Examination Preparation and Assistance
We advise firms on preparing for and managing Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, National Futures Association, and other regulatory examinations and inspections.
Compliance and Ethics Training
We help design and deliver training programs to promote adherence to laws, rules, and industry principles and best practices.
Trading Systems and Other Technology Assessments
We assess the design and implementation of trading systems, cybersecurity and other information security programs, risk management controls, quantitative investment models, and other technology systems to determine whether they meet regulatory requirements.
We are available to assist purchasers, investors, counterparties, lenders, and others in conducting due diligence, including reviews of regulatory compliance programs.
Corporate Governance Advice
We review governance systems, and offer counsel regarding stakeholder relations, management rights and responsibilities, and committee structures and charters.
Independent Compliance Consultancies and Corporate Monitorships
We act as independent consultants and monitors under settlement agreements with the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, and federal banking regulators, as well as with state regulators. These engagements include reviews and recommendations concerning supervisory, compliance, and operational policies, procedures, and controls designed to prevent and detect violations of laws, regulations, and internal codes of conduct.
Litigation Support and Expert Testimony
We assist legal counsel in handling specialized legal, regulatory, and transactional issues, and we provide expert testimony in trials, arbitration proceedings, and investigations.
We advise clients when unexpected events pose legal, regulatory, and reputational concerns. Because these crises almost always also have communications, media, and governmental implications, we are accustomed to coordinating our advice with our clients’ legal, public affairs, and governmental affairs resources.