Expert advisory support that helps regulated firms anticipate change, manage risk, and operate with precision
Regulatory Strategy Development
Design and refinement of regulatory strategies that position firms for long-term success while meeting NFA, CFTC, and SEC expectations across all business lines
Governance & Risk Advisory
Strengthening of governance frameworks and risk-management structures to enhance oversight, elevate control effectiveness, and support informed decision-making
Compliance Program Optimization
Modernization of compliance programs through streamlined procedures, elevated supervisory controls, and enhanced testing and training frameworks
Swap Dealer Advisory Services
Targeted expertise across the full spectrum of swap dealer requirements, ensuring efficient alignment with reporting, business conduct, margin, and risk-management obligations
Regulatory Change & Implementation Support
End-to-end support for interpreting emerging regulations and integrating new requirements into business operations with clarity and minimal disruption
Independent Reviews & Corrective Action Planning
Independent, data-driven evaluations of compliance functions, accompanied by practical recommendations and structured plans to remediate deficiencies
Regulatory Investigations & Remediation
Strategic guidance throughout regulatory inquiries and exams, including issue analysis, response coordination, and the development of robust remediation initiatives
Enforcement Response & Support
Comprehensive support during enforcement matters, delivering disciplined response strategies, documentation management, and actionable remediation pathways
