How We Can Help
The Regulatory Fundamentals Group combines timely and comprehensive regulatory, compliance, and risk management support with strategic business advice to deliver action-oriented solutions.
RFG helps you address the increased complexity of the regulatory landscape in a cost effective manner. We are expert at understanding financial regulatory change and implementing those changes throughout an organization.
In the asset management space, we translate legal and regulatory requirements into a comprehensive index of US Federal Laws and Regulations, as well as ongoing business processes that ensure sound risk management. We also provide an intuitive update system that lets a manager or compliance professional quickly determine if a new regulation applies to the organization.
RFG helps you address the increased complexity of the regulatory landscape in a cost effective manner. We are expert at understanding financial regulatory change and implementing those changes throughout an organization.
In the asset management space, we translate legal and regulatory requirements into a comprehensive index of US Federal Laws and Regulations, as well as ongoing business processes that ensure sound risk management. We also provide an intuitive update system that lets a manager or compliance professional quickly determine if a new regulation applies to the organization.
Quick Survey
In the past, many industry groups and regulators claimed that segregated accounts provided commodities clients with adequate protection from FCM failure. In light of MF Global, do you support the creation of an insurance fund like SIPC?
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Asset Management Firms
RFG provides alternative asset managers, at all stages of business, with tools and templates to simplify the process of registering with the SEC, build a business-friendly compliance ... read more
Banks & Holding Companies
RFG provides business and regulatory advice to banks, bank holding companies and foreign banks with operations in the US. The RFG team is composed of senior-level experts who have ... read more
Payment & Clearing Matters
RFG offers deep and broad expertise in funds transfer and securities clearing systems. RFG team members have played major roles in the development and/or enhancement of domestic and ... read more
Law Firms
RFG provides litigation and transactional support including testifying expert witnesses, consulting expert services and pre-litigation support. We have been retained on work related to market practices and valuation... read more
