Our Services

DOMESTIC SERVICES

FINRA and SEC Compliance

In an ever changing regulatory environment, it is important to stay current and avoid the pitfalls that could result in investor harm and financial and reputational losses to the firm. GMAG will assist your firm in creating a culture of compliance in the following areas


General Compliance Advisory

To keep you up to date, we can monitor regulatory developments that are relevant to your business and advise you on how to respond and help update your existing compliance program.

Audits and Investigations

As former practitioners we have first hand experience in dealing with regulators. We can help position your regulatory program so it addresses their expectations and recommend ways to run your program more efficiently.


Listings

The decision to become public is one of the most important decisions a company will make in its lifetime. For many businesses, becoming public is the ultimate goal and an affirmation of success.


INTERNATIONAL SERVICES

Listings

The decision to become public company is one of the most important decisions a company will make in its lifetime. For many businesses, becoming public is the ultimate goal and an affirmation of success.


Technology

In order to remain competitive in an ever changing landscape, firms must maintain an edge by deploying a world class technology, operations and infrastructure platform.

Regulation

Emerging and frontier markets are eager to upgrade their financial infrastructures to attract direct foreign investment and to be attractive to local industries as a source of liquidity.


Operations and Clearing

GMAG’s experts have extensive experience in cross-border securities and payment systems, with comprehensive knowledge in the U.S. and International post-trade securities sector


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