Sethi Clarity Advisers (SCA) operates at the intersection of law and finance.  We counsel financial industry participants and other organizations on a variety of regulatory and business issues. SCA provides financial services and regulatory consulting to New York, Chicago, and Philadelphia-based businesses, as well as globally. We offer expertise from both a qualitative and quantitative perspective to established companies and start-ups to drive development and growth. Our areas of expertise include Regulation Best Interest and its impact on revenue-sharing arrangements, ESG engagement and regulation, and analysis of portfolio and fund data in the asset management industry. 

With our extensive knowledge of the financial services industry, we serve clients by providing research and analysis on complex financial issues they face in their industries. We prioritize our clients’ business objectives and develop innovative solutions for navigating the regulatory landscape. Our demonstrated areas of regulatory consulting expertise include securities compliance, Regulation Best Interest and fund disclosure, ESG engagement, derivatives, high-frequency trading, and alternative trading systems. 

We advise clients, such as Morningstar, on issues relating to mutual fund and ETF regulation, investment advisor registration, and corporate governance. SCA is well-informed on new and proposed regulation, enabling us to provide clients with progressive business solutions.

SCA assists start-ups on business and regulatory strategy and operations, such as lengthy SEC registration processes. We advise clients within the financial and legal industries when launching businesses and help them avoid regulatory obstacles. With our knowledge on analysis of portfolio and fund data in the asset management industry, we design investment processes and create data analysis strategies to optimize our clients’ needs. We propose a tailored, regulatory strategy for the client to adapt their business model within a complex and changing regulatory landscape.

See our client case studies to learn how we have helped a variety of businesses.