The Work We Do

The Securities Practice Group focuses on complex regulatory and compliance challenges facing our diverse group of clients. We sort through difficult regulatory and compliance issues quickly and develop effective and practical strategies to resolve them. This leads to a high level of success and client satisfaction in the shortest time possible.

In all our work, we provide clients with the unique ability to combine the expertise of former senior law enforcement and regulatory officials with the know-how of seasoned professionals in accounting, economics, investments, and finance.

Please select a practice area below to learn more about it.

• Securities Regulatory Reviews and Assessments
  

• Internal Fact-Finding Investigations

• Corporate Governance and Controls Assessments

• Independent Compliance Consultants and Monitors

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For more information regarding the Promontory Securities Practice Group, please contact Kathleen Hamm, Managing Director, at (202) 384-1022 or khamm@promontory.com