KEY OFFERINGS

FinTech, Blockchain, Cryptocurrencies and Digital Assets

  • Crypto-assets and blockchain regulatory issues, enforcement action and sanctions analysis

  • Strategic regulatory advice and guidance

  • Federal and state level jurisdictional regulatory developments 

  • Advice on non-US crypto-friendly jurisdictions

  • Regulatory strategy for initial coin offerings (ICOs) and token generating events 

Strategic Solutions

  • Privacy and Data Protection 
  • Cybersecurity

  • C-Suite Advisory

  • Due Diligence (M&A and succession planning)

  • Vendor Due Diligence

  • Governance Support (board and committee materials)

  • Strategic Technology Guidance

  • Presentations

  • Best Practices

  • Ad-hoc Inquiries

Compliance Program Support

  • Annual Compliance Program

  • Compliance Policies and Procedures Development and Implementation

  • Compliance Program Monitoring and Testing

  • Code of Ethics Development and Administration 

  • Business Continuity Planning and Disaster Recovery

  • Updates and Disclosures on regulatory forms (e.g., Form ADV Part 1, ADV Part 2A and Part 2B, Form 13F, Form13H) 

  • Compliance Training

  • Compliance Calendar

 

Examinations 

  • Mock SEC Examinations

  • Regulatory Exam Support

  • Deficiency Response Support 

  • Post-Litigation Support (after settled SEC administrative enforcement proceedings)

 

Reviews

  • Gap Analysis and Risk Assessments 

  • Targeted Reviews

  • Rule 206(4)-7 Annual Compliance Reviews

  • Compliance Program Reviews

Need help with another item not specifically listed?  Please contact us to discuss.

PRICING

We offer pricing flexibility through a range of flat, capped and hourly rates. We partner with you and design custom solutions for your specific needs.