Occam Regulatory Solutions LLC
INTERNAL INVESTIGATIONS
Occam conducts internal investigations at clients in the
following areas, including presenting reports and
recommendations to management and the regulators:
Occam conducts internal investigations at clients in the
following areas, including presenting reports and
recommendations to management and the regulators:
- Stock Manipulation
- Front Running
- Soft Dollar Violations
- Money Laundering
- Clearing Operations
- Chinese Walls / Information Barriers
- Community Reinvestment Act
- Insider Trading
- Market Timing and Late Day Trading
- Kick Backs / Rebates / Commissions
| Occam Regulatory Solutions LLC One Sherman Square Suite 39H New York, NY 10023 (212) 769-3921 • Fax (212) 702-8788 info@occamreg.com |
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