Registrant Services
Our services are designed to provide our clients with comprehensive and customized legal and compliance support that meets their specific needs.
What sets us apart from our competitors is our unwavering commitment to superior client service, responsiveness, and personalized attention to our clients.
Fractional general counsel and regulatory compliance
Get cost-effective fractional general counsel and regulatory compliance services tailored to your business. We provide expert advice and support to help you navigate complex legal and regulatory requirements and minimize compliance risk.
Monitoring regulatory developments
Stay informed about regulatory changes that impact your business operations. We monitor developments and provide timely advice to ensure compliance and mitigate risks in a rapidly evolving regulatory landscape.
Dealing with regulatory inquiries or issues
Navigate regulatory inquiries and issues smoothly with our experienced team. We provide strategic guidance, representation, and resolution support, helping you effectively address regulatory challenges and safeguard your business interests.
Training
Equip your team with the knowledge they need through our comprehensive training programs. We lead sessions to educate your staff on legal and regulatory obligations, empowering them to make informed decisions and maintain compliance within your organization.
Conflicts of interest
Mitigate conflicts of interest with our expert review and advice services. We analyze your business activities, identify potential conflicts, and offer tailored legal guidance to effectively manage and address these situations, ensuring compliance and maintaining ethical standards.
Anti-money laundering and privacy compliance for securities registrants
We offer tailored services including risk assessments, training, advice on transaction monitoring, reporting, audits, and ongoing support to protect your business from financial crimes and privacy breaches.
Let's Work Together
Discover the power of competitive pricing combined with unparalleled value in monthly retainer and hourly-based services. CMB Registrant Services goes beyond cookie-cutter solutions, offering you customized services designed specifically for your unique requirements.