Overview
Compliance
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)
Services
Business Health Assessment
Identify blind spots and growth opportunities with our business health assessment
National Footprint
Our Locations
Los Angeles /
Santa Monica, CA
100 Wilshire Blvd Suite 700
Santa Monica, CA. 90401
Phone - 617-542-7400