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

Our client base includes: banks, asset management
firms, investment banking companies, structured
finance vehicles, retail banks, hedge funds, private
equity and venture capital funds, mutual funds,
companies, commercial banks, and private banks.

Occam's clients are often subject to several regulatory
regimes. We have experience dealing with BAFIN, the
FSA, Consob, other non US supervisors, Finra, the
Bank of International Settlements, IOSCO, the Basle
Committee, the ECB, the SEC, the NYSE, the CFTC,
the NASD, the OCC and the Federal Reserve, as well
as the equivalent state regulators.

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