Helping Clients Succeed in a Complex Financial Regulatory Environment

We started with a vision of providing top-notch legal services to help securities industry participants -broker-dealers, investment advisers, clearing agencies, etc., fill their needs for deep-bench knolwedge, as well as sophisticated and practical regulatory advice. We believe in building long-lasting relationships with our clients and helping them efficiently achieve their business goals.

Our advice is built on our decades of experience of working in senior roles in public and private sectors and validated by our track record of success.  We have global law firm backgrounds, years of service at the SEC, expertise in complex regulatory and transactional issues and an understanding of in-house legal perspective.   

We work closely with our clients to understand their needs and provide tailored solutions that fit their requirements and budget. We have a wide network and connect with other service providers who team up with us to provide a full spectrum of services to address multi-faceted issues arising from complex matters.