Broker Dealer Services

Capital Markets and Investment Banking

COS specializes in addressing complex regulations, policies and procedures, surveillance, and conflicts of interest associated with capital markets and investment banking.  COS can build or evaluate your firm’s compliance infrastructure for:

  • Trading and sales
  • Research
  • Origination and syndicate
  • Section 15G of the Exchange Act – Information Barriers
  • Investment Grade
  • High Yield
  • Municipals