Exemplar Compliance

Protecting Your Business for Continued Growth

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Laws and regulations can be all consuming and the cost of non-compliance is significant. You want to grow your business and that is where your focus needs to be.  That is why we are here to help.

Our multi-discipline team works with you to develop, execute and maintain compliance programs. We leverage the years of experience and expertise of our team comprising of compliance professionals, attorneys, risk managers and business experts.

We support the compliance requirements of securities, banking and commodities institutions, payment providers, money transmitters and digital assets, FinTechs & companies who are undergoing digital transformation


Due Diligence

Exemplar’s due diligence services supports broker dealers and registered investment advisors. Our firm furnishes sponsor-level and deal-level due diligence opinions and serves as a reviewer of due diligence opinions prepared by other firms. LEARN MORE

Our Expertise 

Anti-Money Laundering

  • Regulations spanning the US, EU, and Asia

Anti-Bribery & Corruption

  • US Foreign Corrupt Practices and the UK Anti-Bribery Acts

Privacy Compliance

  • Regulations spanning the US and EU

Banking, Securities & Commodities Markets in the US

  • Federal Reserve Board, Office of the Comptroller of the Currency, Consumer Financial Protection Bureau
  • Securities Exchange Commission, Municipal Securities Rulemaking Board, Financial Industry Regulatory Authority
  • Commodities Futures Trading Commission, National Futures Association
  • State Regulators including California, New York, South Dakota & Wyoming

Payment Providers, Money Transmitters & Digital Assets

  • US Treasury Financial Crimes Enforcement Network, US Federal & State Requirements
  • Bermuda Monetary Authority
  • Emerging EU Regulation on Markets in Crypto-assets (MiCA)


Compliance Monitoring & Testing

Policies & Procedures Development

Compliance Reporting & Regulatory Filings

Regulatory Change Management

Regulatory Remediation

Strategy, Risk Assessment & Board Reporting


FinTech & Digital Transformation

AML & Compliance Technology

Co-Sourcing & Outsourcing Solutions

Outsourced Compliance Professionals

Outsourced Chief Compliance Officers

Business Health Assessment

Identify blind spots and growth opportunities with our business health assessment

National Footprint

Our Locations

Boston, MA-HQ

10 Post Office Square,
Boston, MA 02109

Phone - 617-542-7400

New York, NY

211 E 43rd St

New York, NY 10017

Phone - 617-542-7400

Los Angeles /
Santa Monica, CA

100 Wilshire Blvd Suite 700
Santa Monica, CA. 90401

Phone - 617-542-7400

Executive Suites

Silicon Valley /
San Jose, CA

1046 W Taylor St # 200
San Jose, CA 95126

Phone - 617-542-7400

Tampa, FL

100 Ashley Dr S #600
Tampa, FL 33602

Phone - 617-542-7400

Detroit, MI

1420 Washington Blvd
Detroit, MI 48226

Phone 617-542-7400

Denver, CO

100 Fillmore St
Denver, CO 80206

Phone - 617-542-7400