Built for firms operating where the rules are still being written.
Our clients span crypto-native innovators, established financial institutions, and the fintechs in between. What they share is a need for senior, principal-level guidance in markets where regulatory clarity is still emerging.
Early-Stage Startups
From Registration to Launch
For early-stage companies, we develop a strategic path to registration, or exemption from registration, based on the company's business model, product roadmap, and growth objectives. We help founders and management teams move quickly from concept to a compliant, operationally ready business.
Registration & Exemption Strategy
Develop strategic plans for registration, or exemption from registration, with the SEC, CFTC, NFA, FINRA, and other applicable regulators.
End-to-End Registration Support
Prepare registration/membership applications and support clients throughout the regulatory review process to accelerate approval.
Operational & Technological Readiness
Advise clients on the operations, technology, finance, risk, compliance, and vendor infrastructure needed to support the business and its regulatory obligations.
Launch Readiness
Help clients move beyond registration and prepare for launch. Our practitioners have performed these functions inside registered entities, enabling us to train client personnel, test systems and controls, identify gaps, and help ensure a seamless launch.
Post-Launch Support
Provide ongoing support after launch to address emerging issues, regulatory questions, operational challenges, and evolving business requirements.
Agile Compliance Structures
Build practical, scalable compliance frameworks that protect the client's vision, business objectives, and reputation without creating unnecessary operational friction.
Innovative Regulatory Approaches
Help clients address longstanding regulatory requirements creatively, including seeking regulatory relief, no-action positions, interpretations, or other approaches where innovative structures satisfy the spirit and intent of rules designed for traditional market structures.
Product Strategy & Rollout
Advise clients on product plans and launches, including economic analyses and other requirements associated with self-certification of contracts.
Systems, Controls & Operations
Assess systems, controls, and operational processes for potential improvements and ongoing compliance.
Examinations & Remediation
Support clients through regulatory examinations, responses to findings, and remediation efforts.
Rulemaking & Regulatory Advocacy
Advise clients on proposed rules and assist with the preparation and submission of comment letters.
Marketing & Advertising
Advise clients on regulatory considerations applicable to marketing, advertising, communications, and product promotion.
Not sure where to start?
Tell us about your situation and we'll point you to the right starting place.
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