Occam Regulatory Solutions LLC
Occam Regulatory Solutions LLC
One Sherman Square
Suite 39H

New York, NY 1002
(212) 769-3921 • Fax (212) 702-8788

Our experience has given Occam broad and deep
knowledge of a large number of differently configured
complex financial institutions that are banks, asset
managers, and investment banks engaged in multiple
business lines.

Our substantive areas of expertise include advice on
Dodd Frank and other regulatory reform initiatives,
compliance advice and implementation regarding
derivatives, bank, insurance, and securities regulation,
clearing and settlement of OTC derivatives and
securities transactions, bank liquidations and living wills,
asset securitizations, bank capital adequacy
requirements, model international codes, strategic
expansions, disclosure, investigations, new products,
derivatives, consumer banking and retail investing, and
anti-money laundering.

We also conduct training programs and
investigations/audits for clients including drafting and
implementing remedial policies and procedures.


(1) regulatory developments (including preparing
comment letters and implementing developments)

(2) internal investigations,

(3) developing new products and drafting policies and
procedures for the operation of financial institutions, and

(4) strategic transactions involving financial institutions.