Regulatory Compliance Association Reviews

Endowing Organizations


Guidepoint is a leading research services firm that connects business decision-makers and researchers with knowledgeable independent experts across 110 industries. Since 2003, Guidepoint has provided its clients with practical insights, setting up more than 500,000 interactions. Its slate of services, including phone consultations and meetings with Advisors, custom surveys, and proprietary data products, help professionals gain comprehensive understanding of a topic before making major investment and/or business decisions. Guidepoint’s multinational client list includes seven of the top 10 consulting firms, seven of the top 10 hedge funds, and some of the largest private equity firms and Fortune-ranked companies. Guidepoint’s industry-leading compliance platform — overseen by Guidepoint’s General Counsel, a former SEC enforcement attorney — supports appropriate client-to-Advisor interactions through the application of Guidepoint’s own policies and procedures as well as custom, client-specific controls the company implements at clients’ requests. For more information on Guidepoint, visit

Baker Botts is a globally respected law firm with 725 lawyers and 14 international offices. We are driven by the highest ethical and professional standards.  This professionalism, combined with industry knowledge and insights and our understanding of the law, helps us to deliver effective, innovative solutions for our clients. With a presence in the U.S., Europe, Asia and the Middle East, Baker Botts provides our clients with responsive service both domestically and internationally. This broad reach enables us to help companies around the world go wherever their industry goes—to successfully respond to challenges, minimize risks and maximize opportunities. For more than 175 years, Baker Botts has delivered results-oriented services, establishing us as a leading law firm. Our reputation is complemented by our leadership in government, the judiciary and our communities. Regardless of size, sector or jurisdiction of a client, our commitment is to help achieve their business objectives.

CFA Institute

CFA Institute is the global association of investment professionals that sets the standard for professional excellence and credentials. The organization is a champion for ethical behavior in investment markets and a respected source of knowledge in the global financial community. The end goal is to create an environment where investors’ interests come first, markets function at their best, and economies grow. CFA Institute has more than 129,000 members, including 122,000 CFA charterholders, in 147 countries and territories and 144 member societies.


Walkers is a leading International Financial Centre law firm. From our offices in the British Virgin Islands, the Cayman Islands, Dubai, Dublin, Hong Kong, Jersey, London and Singapore, we provide legal services to FORTUNE 100 and FTSE 100 global corporations and financial institutions, capital markets participants, investment fund managers and middle market companies. Walkers focuses on corporate and international finance law with an emphasis on investment funds, private equity and structured products and capital markets. Our firm delivers clear, concise and practical advice based on an in-depth knowledge of the legal, regulatory and commercial environment in the British Virgin Islands, Cayman Islands, Ireland and Jersey. We are experienced in all types of international and cross-border transactions and are committed to developing close working relationships with our clients and their professional advisers. We also operate expert groups dedicated to the world’s emerging markets in Latin America, Russia/CIS, China and India, with specialist attorneys experienced in working with clients from these regions. Our global presence means we are always accessible to our clients in all time zones.

Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with an international reputation for excellence. We have offices in New York City and Washington, D.C.Our practice primarily focuses on corporate and litigation work for clients seeking legal expertise in the financial services, corporate finance and capital markets areas. The Firm is particularly well known for its representation of investment advisers and related investment funds (including mutual funds, hedge funds and private equity funds), brokerdealers, institutional investors. The Firm’s Investment Management Practice provides advice to its clients on organizational matters (from management company and fund organization, lease negotiations to operating agreements), registration, product creation (from fund creation, separate account agreements, wrap account documentation, to prime brokerage agreement and related agreement advice), transactional work (from mergers and acquisitions, takeovers, proxy battles to investment transactions), compliance matters (from preparation of compliance manuals, mock audits, annual compliance reviews, investigations, to assistance with regulators), employment matters (from hiring to firing), corporate matters (from buy-sell agreements to compensation arrangements and plans) and all other legal matters affecting their businesses.

Hughes Hubbard & Reed LLP is a New York City-based international law firm among those that The American Lawyer calls “the top firms among the nation’s legal elite.” We offer our clients comprehensive legal services in a variety of corporate and litigation practice areas. Our reach and impact extend across multiple continents with offices in Washington, D.C., Miami, Paris, Los Angeles, Kansas City, Jersey City and Tokyo. With a distinguished history dating back to the late 19th century, our firm is one of the country’s leaders in promoting diversity in law firms and is renowned for its pro bono achievements.

For 200 years, Cravath has been the firm of choice for corporations with respect to their most challenging legal issues, most significant business transactions and most critical disputes. In both the boardroom and the courtroom, Cravath excels at advising companies, their boards and their executives on the full range of white collar defense matters and corporate crises from internal and government investigations, enforcement actions and related civil litigation to regulatory compliance. Comprised of attorneys who have held senior positions in U.S. enforcement agencies, seasoned litigators and corporate advisory lawyers, the Firm provides a strategic approach tailored to a client’s business needs. Cravath’s reach in the investigations arena is global, extending to issues involving Asia, Africa, the Middle East, Europe and the Americas for clients in diverse industries.


RSM US LLP is the leading provider of audit, tax and consulting services focused on the middle market, with nearly 11,000 people in 87 cities and four locations in Canada. It is a licensed CPA firm and the U.S. member of RSM International, a global network of independent audit, tax and consulting firms with more than 41,000 people in 116 countries. RSM uses its deep understanding of the needs and aspirations of clients to help them succeed. For more information, visit and/or connect with us on LinkedIn.

Winston’s team of attorneys are grounded in the issues facing financial services companies across the globe. We offer extensive experience advising some of the largest banks and financial institutions on a range of complex regulatory and transactional matters; litigation, dispute resolution and regulatory matters; privacy and data security breaches; intellectual property issues; and labor and employment disputes. In addition to financial services firms, we represent debt funds, specialty lenders, broker-dealers, investment managers, funds, exchanges, and insurance companies. In the U.S., we advise on compliance with federal and state laws and regulations, advocating our clients’ interests in agency proceedings and policy deliberations, and ensuring the timely completion of acquisitions, mergers, and other transactions. Our financial services practice represents U.S. and non-U.S. firms before federal and state regulatory agencies, legislatures, and courts, as well as before arbitration panels and international tribunals. In fact, our
attorneys have actively participated in implementing the major U.S. legislation affecting financial firms over the last three decades, including the laws governing financial services integration, enhanced supervisory oversight, money laundering prevention, privacy, corporate governance, and financial and public reporting.

Sterlington Legal Solutions is an innovative legal business focused on leveraging technology and workflow management to provide high-quality, fast-turnaround services to investment management and corporate clients. In Sterlington’s NDA business line, we process large volumes of confidentiality agreements on a fixed-fee basis by having a skilled team of professionals augmented with proprietary technology. Our NDA flow statistics, compliance tools and expertise on market terms give clients an edge that traditional law firms cannot match. Sterlington’s bespoke products, such as a contract management platform for family offices, alleviate in-house counsel burdens and reduce fees. We disrupt the corporate legal market by doing more, better and faster with advanced technology. Based in New York City, Sterlington was founded by Christopher S. Harrison (ex-Schulte partner and Adjunct Professor at NYU Law). The former General Counsel of AIG, Tom Russo, serves as a strategic advisor. Our team includes twenty-five ‘Big Law’ experienced attorneys as well as AI and technology experts.

Titan Regulation and their senior management have spent more than 20 years in legal and regulatory roles for complex financial services organizations, serving as CCO for hedge fund and broker-dealer, market maker organizations. Titan’s experience managing SEC, CFTC, FINRA and exchange regulatory compliance programs gives insight into complex trading strategies and how they intersect with the regulatory environment. Titan Regulation seeks to understand your unique organization, its business strategies, market activities, operational and technology infrastructure, and sales and marketing activities.  Each of these pieces of your organization have regulatory touch points. Each factor in to your unique compliance program. Titan Regulation professionals come from leading financial services organizations and each are uniquely qualified to understand your complex business and potential regulatory pitfalls.

Katten Muchin Rosenman LLP is the full-service law firm our founding partners envisioned, with more than 600 attorneys in locations across the United States and in London and Shanghai. Katten Muchin Rosenman UK LLP includes a diverse financial services practice representing banks, securities houses, insurance companies, real estate investors, investment managers and others operating in the financial services and real estate arenas. We supplemented our presence throughout the US with the opening of our Austin, Houston and Northern California offices to serve our growing environmental clientele in the areas, as well as, providing our clients with finance, financial services, private equity, real estate and corporate support.

National Futures Association (NFA) is the industry wide, self-regulatory organization for the U.S. futures industry. NFA’s mission is to develop rules, programs and services that safeguard market integrity, protect investors and help its Members meet their regulatory responsibilities.NFA is an independent regulatory organization with no ties to any specific marketplace. It operates at no cost to the taxpayer. NFA is financed exclusively from membership dues and from assessment fees paid by the users of the futures markets.
Over the years, NFA has adopted stringent rules covering a wide variety of areas such as advertising, telephone solicitations, risk disclosure, discretionary trading, disclosure of fees, minimum capital requirements, reporting and proficiency testing. Just as importantly, NFA performs audits and examinations of its Members to monitor compliance with those rules. NFA also conducts financial surveillance to enforce compliance with NFA’s financial requirements.

JW Michaels & Co. is an executive search firm dedicated to serving the specialized recruiting needs of top-tier financial services, legal, technology, and business institutions. Since their founding in 2010, they have grown to over 120 employees across six offices nationwide. They continue to grow because they stay true to their mission, employing the best people to find the best people.

King & Spalding

Celebrating more than 125 years of service, King & Spalding is an international law firm that represents a broad array of clients, including half of the Fortune Global 100, with 800 lawyers in 17 offices in the United States, Europe, the Middle East and Asia. The firm has handled matters in over 160 countries on six continents and is consistently recognized for the results it obtains, uncompromising commitment to quality and dedication to understanding the business and culture of its clients. More information is available at

Shearman & Sterling LLP

Shearman & Sterling LLP has been advising many of the world’s leading corporations and financial institutions, governments and governmental organizations for more than 130 years. The firm’s Asset Management Group offers a broad range of legal services to registered and unregistered funds and advisers, working with clients in the United States and throughout the world from offices in New York, Washington, DC and London. The group includes a prominent alternative investment practice, representing hedge fund managers, fund-of-funds managers and administrators, and a derivatives team that provides structuring, documentation and transaction execution assistance on derivative and structured products.The Asset Management Group also provides tailored compliance-related services, assisting in the design, implementation and testing of compliance programs, regulatory examinations, and, together with the firm’s litigators, regulatory enforcement and “pre-enforcement” defense.


Proskauer’s Hedge Fund Practice focuses on the establishment and ongoing representation of hedge funds, hedge fund managers and fund-of-hedge-funds in all aspects of their operations, from formation to ongoing compliance with SEC, CFTC, FINRA, FSA, tax and ERISA rules. The Group includes a core of experienced legal practitioners who have represented both US and non-US clients including independent hedge fund managers, large financial institutions and institutional investors.The Practice coordinates closely with our Investment Management, Private Equity, Tax, ERISA and Regulatory practices. In addition to typical private investment limited partnerships, limited liability companies and off-shore investment funds, we are adept at the structuring and formation of other open and closed-end investment vehicles. Our team organizes funds that invest in long/short, arbitrage, event-driven, distressed, special situation, emerging market, futures and derivative strategies, as well as hybrid strategies that combine elements of hedge fund investment strategies with private equity or other investments. We are skilled at the development of tax-efficient investment fund structures to investors in multiple jurisdictions and in the development of tax-efficient investment management structures. We also advise hedge fund managers on their internal operations and personal situations, including employment, tax, compensation, estate planning, intellectual property and dispute resolution.


The mission of the Commodity Futures Trading Commission (CFTC) is to foster open, transparent, competitive, and financially sound markets, to avoid systemic risk, and to protect the market users and their funds, consumers, and the public from fraud, manipulation, and abusive practices related to derivatives and other products that are subject to the Commodity Exchange Act. In carrying out this mission and to promote market integrity, the Commission polices the derivatives markets for various abuses and works to ensure the protection of customer funds. Further, the agency seeks to lower the risk of the futures and swaps markets to the economy and the public. To fulfill these roles, the Commission oversees designated contract markets, swap execution facilities, derivatives clearing organizations, swap data repositories, swap dealers, futures commission merchants, commodity pool operators and other intermediaries. The futures and swaps markets are essential to our economy and the way that businesses and investors manage risk. Farmers, ranchers, producers, commercial companies, municipalities, pension funds and others use these markets to lock in a price or a rate and focus on what they do best – innovating, producing goods and services for the economy, and creating jobs. The CFTC works to ensure these hedgers and other market participants can use these markets with confidence.


The Alternative Investment Management Association (AIMA) has over 1,600 corporate members (and over 9,000 individual contacts) in over 50 countries. Members include hedge fund managers, fund of hedge funds managers, prime brokers, legal and accounting firms, investors, fund administrators and independent fund directors. AIMA’s manager members collectively manage more than $1.5 trillion in assets. All AIMA members benefit from AIMA’s active influence in policy development, its leadership in industry initiatives, including education and sound practice manuals, and its excellent reputation with regulators worldwide. AIMA is a dynamic organisation that reflects its members’ interests and provides them with a vibrant global network. AIMA is committed to developing industry skills and education standards and is a co-founder of the Chartered Alternative Investment Analyst designation (CAIA) – the industry’s first and only specialised educational standard for alternative investment specialists. For further information, please visit AIMA’s website,

Ernst & Young

Ernst & Young is a global leader in professional services. We have over 100,000 professionals in more than 140 countries around the globe, who pursue the highest levels of integrity and quality. The professionalism of our people provides our clients with services based on financial, transactional, and risk management knowledge in our core offerings – assurance, tax, transactions, and advisory.Our Asset Management Advisory Services practice brings an integrated team of professionals and skills to each client we serve, bringing practical experience in asset management operations, project management, regulatory compliance, and risk management. Our compliance team spans regulations and industries. Our regulatory engagements expand beyond an identification of regulatory risks in the environment. We provide practical recommendations for remediation of identified deficiencies and, if needed, have the skills needed to assist implementation.


Building trust in society and solving important problems. With offices in 157 countries and more than 208,000 people, we are among the leading professional services networks in the world. We help organisations and individuals create the value they’re looking for, by delivering quality in assurance, tax and advisory services. Some facts about PwC: In FY15, PwC firms provided services to 418 companies in the Fortune Global 500 and 443 in the FT Global 500; In 2015, we were named the 2nd most attractive employer in the world for business students by Universum; For the year ending 30 June 2015, PwC’s gross revenues were US$35.4 billion, up 10%, a strong performance in the face of some challenging circumstances

Chadbourne's Private Funds

For more than a century, Chadbourne & Parke has counseled innovators around the world. We are a full-service law firm that leverages the extraordinary talent from our 11 offices to offer the highest caliber client service in more than 80 countries on six continents. Today, we are recognized internationally for our groundbreaking work in emerging economies and our deep experience in energy and infrastructure, corporate and finance transactions, international disputes, and bankruptcy and financial restructuring. Our lawyers represent investment advisers on a range of matters, including private equity and hedge fund formations; establishment and acquisition of alternative asset managers, and the ongoing management of their funds and separately managed accounts; regulatory and compliance matters; and investments in private funds, including the evaluation of fund documents for alternative investments.


Appleby is one of the world’s largest providers of offshore legal, fiduciary and administration services. We have around 800 people, including 68 partners, operating from 12 offices around the globe. We advise global public and private companies, financial institutions, and high net worth individuals, working with them and their advisers to achieve practical solutions, whether in a single location or across multiple jurisdictions. As an offshore legal services provider, Appleby lawyers advise on the principal areas of corporate and commercial, litigation and insolvency, property, and private client and trusts. Appleby’s Fiduciary and Administration group of companies provide offshore management and administration services to high net worth individuals, private companies, funds and global corporations.

ICSA Software International

ICSA Software International is a software company of the Institute of Chartered Secretaries and Administrators (The ICSA), an international qualifying body for the Chartered Secretaries and a recognized authority on governance and compliance. With more than 25 years of experience and thousands of users worldwide, across every conceivable industry, our client base features many of the largest companies in the world, including the most innovative software company in the globe. Our commitment to providing a suite of highly secure and integrated solutions is the reason 83 of FTSE 100, 115 of FTSE 250, 5 of Fortune 10 and 27 of Fortune 100, 15 of Euronext 100 and 21 of ASX Top 50 companies trust us to manage their sensitive information to deliver good governance and best practice in the boardroom. Our two flagship products include Blueprint Oneworld, a web-based corporate compliance and entity management solution and BoardPad, a meeting and document collaboration application for directors that turns their iPads into highly secure digital board and meeting packs.