Occam Regulatory Solutions LLC
Occam Regulatory Solutions LLC
One Sherman Square
Suite 39H
New York, NY 10023
(212) 769-3921 • Fax (212) 702-8788
info@occamreg.com
NEW PRODUCTS AND OPERATIONS

Occam assists clients develop products and draft and
implement procedures dealing with:

  • Broker Dealer Rules
  • Investment Management Rules
  • Guidelines for Internal Coordination within the
    Client Group (Reporting of Regulatory Violations,
    etc.)
  • New Product Approvals
  • Due Diligence
  • Hedge Funds
  • Conflicts of Interest (involving Proprietary Trading,
    Analysts, etc.)
  • Corporate Philanthropy
  • Anti-Money Laundering / Know your Customer
    Guidelines / Patriot Act/OFAC
  • Private Equity / Risk Management
  • Complex Structured Finance Transactions
  • Chinese Walls / Information Barriers
  • Prime Broker and Other Procedures for Banks
    Acting as Counterparties to Hedge Funds
  • Privacy
  • Suitability Guidelines
  • Private Banking
  • Best Execution
  • E-Banking
  • Corporate Governance / Conflicts of Interest /
    Ethics Guidelines
  • Disclosure / Sarbanes Oxley Compliance