Representative Engagements 

Insider trading controls for a private fund manager

Review, analyze, and assess policies, procedures, and controls designed to prevent the misuse of material non-public information and the occurrence of insider trading.

Market access rule for broker-dealers

Review, analyze, and assess financial, regulatory and other risk management controls and supervisory procedures designed to ensure compliance with the SEC’s market access rule (Rule 15c3-5).

Alternative trading system work for a broker-dealer

Examine and recommend enhancements to the firm’s proprietary alternative trading system (ATS), and review Form ATS in light of the requirements of SEC Regulation ATS.

U.S. compliance matters for EU-based investment managers

Assist the compliance departments of SEC-registered investment advisors with compliance reviews, annual compliance and risk assessments, and Form ADV filings.

Anti-money laundering work for a US branch of a foreign bank

Develop anti-money laundering (AML) policies and procedures designed to comply with the Bank Secrecy Act and related regulations.

Compliance program review for a private equity firm

Conduct comprehensive “mock” SEC examination of firm’s compliance program, recommend enhancements to policies, procedures, and controls, and assist firm in preparing for an SEC examination.