In a complex, fluid world, you need a regulatory adviser with knowledge and experience. Our focus is assisting firms understanding and complying with their U.S. cross-border regulatory compliance requirements. Whether in the United States, the UK, Asia or Europe, we have been there.
Who We Are
We have sat on both sides of the table. Founded by a former SEC and LSE lawyer, we are drawn from senior roles at financial services firms. As your trusted partner, we will guide you through registration or other matters. We help you achieve your goals in a time- and cost-effective manner.
We have years of experience building, helping to implement, advising on and review compliance programs. CCOSupport™ allows you to draw on that experience to strengthen your program. We can help you with Compliance Manuals, Codes of Ethics and monitoring and testing plans tailored to your business. We are experienced in delivering compliance training that instructs your people in how to avoid or address regulatory pitfalls. We will review or comment upon your critical compliance and disclosure documents, including DDQs that are important to regulators, investors and prospects.
We provide guidance and assistance for new and experienced Chief Compliance Officers, directors and employees.
Private funds/hedge funds
We can work with you in establishing your hedge fund/private equity fund or other private fund.
We “wrote the book” on hedge funds and prime brokers. We can provide you with guidance on working with, administrators, auditors, prime brokers and other service providers. We can assist you in structuring and navigating your prime brokerage agreement — Mark Berman edited and contributed to the seminal work, Hedge Funds and Prime Brokers 2nd ed (3rd ed forthcoming) and is a leader on this topic.