Promontory’s professionals have decades of high-level regulatory experience, and offer exceptional perspective and concrete solutions on how to achieve compliance without sacrificing profitability. We are trusted advisers with a combination of regulatory and industry expertise that sets us apart from other firms. Our professionals have served as senior leaders in enforcement, examination, and policy at global securities and derivatives regulatory bodies; two former SEC chairs advise the firm.
Our past engagements include work for leading international financial institutions and regulators. We are regularly called upon to conduct reviews and assessments in matters demanding expert judgment; boards of directors, senior corporate executives, and staff at government agencies rely upon our authoritative reports.
Areas of Expertise:
- Registration with the CFTC and SEC
- Internal investigations
- Regulatory relations
- Defense support for SEC, FINRA, and other enforcement matters
- Mock exams
- Pre-exam preparation, exam assistance, and post-exam remediation
- Reviews of sales practices and trading surveillance
- Compliance and governance reviews
- Internal-controls testing
- Training
- Policies and procedures review
- Independent compliance consulting and monitoring
- Whistleblower programs at public companies and regulated entities
- Audit committees’ obligations and regulatory expectations
- Public-company disclosure, including cybersecurity and sustainability considerations
Types of Clients Served
Promontory helps financial institutions and corporations resolve regulatory challenges with solutions that satisfy operational and strategic priorities. We are accustomed to collaborating with law firms, consultancies, and technology firms to achieve superior results for our clients. In the past, we have served:
- Investment advisers and investment companies
- Broker-dealers
- Financial technology (fintech) companies
- Asset-management businesses within integrated financial institutions
- Public companies and their boards and committees
- Insurance companies and other insurance providers
- Hedge funds and private-equity firms
- Pension funds and endowments
- Service providers to the asset-management industry
- Self-regulatory organizations
- Futures commission merchants
- Central clearinghouses
- Credit-rating agencies
- Exchanges
- Swap dealers and major swap participants
Additional Resources and Publications