We apply our collective experience drawn from prior in-house legal, compliance and operations positions as well as our roles as former regulators to assist our clients with complex matters from the fact-finding stage through resolution and, if necessary, remediation.

We work as a team to assist clients with litigation, internal reviews and investigations, regulatory inquiries and investigations, trading analyses, and compliance and supervision assessments.

Our team is comprised of senior executives at leading global financial institutions, former regulators, data scientists with expertise in broker-dealer data and systems, and professional consultants including attorneys and CPAs who have decades of experience executing broker-dealer–related projects.

We have experience with both retail and institutional broker-dealers and specialize in the normalization and analysis of complex and voluminous data from disparate internal (client systems) and external (market data, regulatory, etc.) sources.​ With former industry experience, we understand the needs of the in-house legal and compliance teams and we tailor our offerings to address all client needs. Further, our strategy for client work always includes plans to minimize disruption to an organization’s business and staff.

OUR AREAS OF EXPERTISE

• Institutional sales and trading (e.g., equities, derivatives, fixed income)
• Trading operations and execution methodology (e.g., payment for order flow, best execution, gamification of trading)
• Investment banking due diligence
• Market structure
• Market access rule
• Nonfinancial regulatory reporting (e.g., CATS, EBS, LOPR, TRACE)
• Trading surveillance and controls
• Compliance and supervision frameworks
• Operational risk control framework
• Compliance risk assessments
• Transaction-related compliance due diligence
• Policies and procedures
• Branch and regulatory exams
• Volcker compliance 

OUR SERVICES

We provide assistance with federal, state, criminal, civil and regulatory inquiries or investigations. These include, but are not limited to: DOJ (criminal and civil). SEC, CFTC, state AGs, secretaries of state or designated securities regulators, FINRA, NYSE, CBOE, OCC, federal and CFPB.

• Managing and assisting responses to federal, state, civil and criminal regulatory inquiries and investigations
• Assessments of internal controls and process improvement plans
• In-depth lookbacks of trades and corrections
• P&L reviews
• Impact analysis and remediation
• Internal investigations support (e.g., regulatory violations, compliance violations, fraud, whistleblower, insider trading, front-running, embezzlement, potential market manipulation including spoofing)
• Routine exam support
• Complex remediation programs (e.g., mutual funds, UITs, etc.)
• Litigation support (e.g., expert witness, managed document review, transactional disputes and damage modeling)