Who We Serve
Who We Serve
Broker-dealers: best execution, market access, surveillance, and MNPI policies and procedures.
Investment advisers: MNPI controls, data vendor diligence, and trading policies and procedures.
Algorithmic and programmed traders: strategies whose order behavior surveillance systems evaluate automatically.
Proprietary trading firms: firms that trade their own capital and carry their own regulatory exposure.
Institutional traders: asset managers and other institutions whose order size and information flow draw scrutiny.
Hedge funds and family offices: alternative data use, concentrated positions, information-sensitive strategies, and portfolio and position liquidation strategies.
Corporate insiders and issuers: design, adoption and execution of Rule 10b5-1 trading plans.
Individual investors: pre-trade review of significant personal trades, subject to a minimum engagement fee.
Outside counsel: confidential engagements as co-counsel, or as a consultant working under counsel’s direction.
Confidential Inquiry
Describe the matter in general terms, and we will respond to arrange an initial Zoom consultation.