Occam Regulatory Solutions LLC
INTERNAL INVESTIGATIONS

Occam conducts internal investigations at clients in the
following areas, including presenting reports and
recommendations to management and the regulators:

  • Stock Manipulation
  • Front Running
  • Soft Dollar Violations
  • Money Laundering
  • Clearing Operations
  • Chinese Walls / Information Barriers
  • Community Reinvestment Act
  • Insider Trading
  • Market Timing and Late Day Trading
  • Kick Backs / Rebates / Commissions
Occam Regulatory Solutions LLC
One Sherman Square
Suite 39H
New York, NY 10023
(212) 769-3921 • Fax (212) 702-8788
info@occamreg.com