Occam Regulatory Solutions LLC
Occam Regulatory Solutions LLC
One Sherman Square
Suite 39H
New York, NY 10023
(212) 769-3921 • Fax (212) 702-8788

Occam Regulatory Solutions LLC provides securities
regulatory, bank regulatory, compliance and corporate
governance consultancy services for banks, bank
holding companies, broker-dealers, asset managers,
hedge funds, other alternative investment vehicles and
clearing operations.

Our experience includes advising clients on products,
strategic transactions and internal investigations
involving the Securities Act of 1933, Securities
Exchange Act of 1934, Investment Advisers Act,
Investment Company Act, Banking Holding Company
Act, Sarbanes Oxley, and comparable state bank,
insurance, and securities laws.

Occam advises clients and coordinates on compliance
issues, deal exposure, litigation, regulatory filings,
disclosure requirements, securities filings and
issuances, public statements, new products, and
internal investigations.  Examples include complex
structured finance transactions,  derivatives, stock
manipulation, frontrunning, anti-money laundering
procedures (Bank Secrecy Act, Patriot Act, Fair
Lending, and Know Your Customer Rules), data
protection regulations, insider trading and violations of
information barriers, market timing, late day trading,
kickbacks, foreign asset control rules (“OFAC”), and
sanctions, capital requirements, and best practices
including, for example, including best execution and
suitability guidelines.