Regulatory Services

Our hedge fund clients work with us from start up to wind down and everywhere in between.  We provide high quality SEC and CFTC registration services, compliance manuals, and compliance program design and administration.  We also provide audit preparation and management services.

 

Our team has experience working with long/short, long only, currency, global macro, energy, event driven, volatility, MBS, CDS, CLO, high frequency trading and futures related strategies, and many others.  We know your complex business and we can help you navigate your complex compliance needs.

Service 1

Hedge Fund Programs

Colleagues

Our team works with FINRA and exchange regulated broker-dealers from launch to administration, providing high quality registration services, market access reviews, anti-money laundering programs, and many other services.  Our broker dealer team includes market maker and high-frequency trading specialists.

Service 2

Broker Dealer Programs

For private equity and venture capital firms that must register with the SEC, we provide critically needed registration services, compliance programs, and compliance program support.

Service 3

Private Equity/Venture Capital

In a Meeting

Our team helps CTA/CPO firms with registration, designs and administers compliance programs, and manages examinations for CTA/CPO firms.  Our CTA/CPO clients trade across a wide spectrum including financials, oil and gas, and others.  Our experienced team knows your CTA/CPO business and can provide the help that your business needs.

Service 4

CTA/CPO Programs

San Francisco | Chicago | New York

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65 E. Wacker Pl STE 610 | Chicago, IL 60601

San Francisco Office

12 Geary St STE 502 | San Francisco, CA 94108

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