Regulatory Compliance Solutions
We help clients understand and address compliance issues whether setting up a new compliance program, assessing how existing operations are meeting compliance objectives, or addressing specific known issues. Our staff includes former regulators and practitioners that have worked closely with regulators throughout the development and implementation of derivatives regulation. We focus on firms that are impacted by US and EU regulation of swaps and futures.
- Strategy/Design: We work with our clients to understand their business model and existing operations to design an effective, efficient regulatory approach that includes: appropriate registration, manual and policy creation, and governance and oversight.
- Gap Assessment: We provide a detailed analysis of the design and effectiveness of your regulatory operations, controls, and governance measured against our proprietary framework.
- Remediation Planning: We develop a comprehensive plan to address known problems, that is prioritized based on potential impact, regulatory scrutiny, and other critical factors.
- Remediation Implementation: We work with your staff to develop cost-effective procedures and controls that are tailored to your specific business needs.
- Remediation Validation: We provide independent verification that assures management and regulators of evidence-based issue closure.