Occam Regulatory Solutions LLC

As a result of its strategic work for financial institutions,
Occam becomes involved in the day to day operations of
various financial institutions.      

Occam works with significant financial institutions in a
broad range of strategic matters, including mergers and
acquisitions of banks, brokerage firms and asset
managers, debt and equity offerings (trust preferred
offerings, stock exchange listings, and note offerings),
formation of and investments by hedge funds, private
equity, venture capital, structured finance transactions,
asset securitizations (including CDOs and CLOs),
derivatives, securities lending, commodities financing,
private banking, and trading in debt and equity securities.

Occam's role ranges from the strategic planning to due
diligence, negotiation and documentation.

  • Acquisitions of Banks, Broker Dealers, Investment
    Advisors, Mutual Fund Companies, Hedge Fund
    Advisors, Private Equity Firms, Clearing
    Organizations .

  • Public offering of financial institutions and other
    capital issuances (NYSE listings, trust preferred

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