Expert Analyses and Reports

We provide expert consulting services on capital markets and tax matters. We have unique subject matter expertise on issues related to high-frequency trading, best execution, operations of exchanges and alternative trading systems (such as "dark pools"), interest rates, commodities trading, margin and capital rules, international taxation, and other financial and tax matters. That said, we are widely recognized as leading experts in trading evaluation, "best execution" and the requirements of the Markets in Financial Instruments Directive (MiFID) II.

We review financial services firms' policies, procedures, and practices for compliance and business risks. Special areas of focus include equities and fixed income trading, commission sharing arrangements, payment for investment research, and market surveillance. We can provide benchmarks to industry "best practices" and may assist with mock examinations and other testing. 

We also provide strategic and technical advice regarding private litigation, as well as investigations by federal and state regulators or prosecutors. This may include preparation of "key" facts analyses, assistance with pre-Wells or Wells submissions, or advice regarding settlement strategy.  

Organizational Development, Program Evaluation, and Program Management

We provide organizational development and program evaluation tools for governments, foundations, non-profits, and business entities. We know how to sharpen organizational focus, build effective processes, and help organizations succeed. If you are facing a complex challenge, or are just looking for recommendations on how to improve your organization, we can help. Some of our key offerings include: (1) Development of Organizational Strategic Plans; (2) Coalition Building; (3) Fundraising, Grant Proposal Drafting, and Budgeting Evaluation; (4) Development of Program Oversight and Evaluation Tools; and (5) Operational Reviews

Policy Development, Education, and Implementation

We provide strategic advice to trade associations and firms seeking to educate federal and state governments, self-regulatory organizations, and the public. After years of advising Congressional committees, federal regulators, state governments, and private firms with investigations and policy development, we give our clients the insiders' guide to navigating these often-treacherous waters. 

We assist non-profit organizations with policy development, education, and implementation strategies across a broad spectrum of areas, including tax, financial regulation, trade, and economic development. 

We have developed and implemented successful campaigns, often working alongside legal counsel, in-house media relations, outside groups, and the press across media platforms. These campaigns may range from raising the profile of an issue to mitigating risk exposures (such as in crisis management situations). These services often involve drafting white papers and reports, preparing comment letters, assisting with Congressional hearings or regulatory roundtables, and developing multi-faceted communications strategies involving mainstream and industry press.