Trading Compliance

It seems these days that navigating the trading compliance environment has never been more challenging, as trade related data volume increases, the impact of algorithmic trading, vast number of legacy systems in place and a slew of new instruments, both exchange traded and OTC, complying with existing rules and regulations and preparing for new SEC, FINRA, CFTC, NFA, FERC and other regulators’ Dodd-Frank related provisions.

We have vast experience and deep business proficiency in identifying compliance risk and implementing comprehensive trade practice, trading activity profiling and position management solutions to mitigate those risks.

Whether trading equities, equity options, fixed income, futures, option on futures and OTC derivatives, we can help you identify the compliance risks and implement a solution that business needs, adapts to your data and technical constraints and meets your timeline and budget requirements.

Whether trading proprietary, institutional customers, retail customers or any combination, we can tailor a solution for your specific business model.

We are at the forefront of implementing derivative trading compliance solutions for exchange-traded and OTC instruments for current and soon-to-be imposed Dodd-Frank Act rules and regulations and have the technical expertise and experience to deal with the unique data requirements.

We can help you identify the compliance risks in your business and implement a solution that works for you


Oct 12 2011
Ultimate Counter Parties

A top Japanese bank was lacking the ability to assess the risks associated with the ultimate originators and beneficiaries of the wire transactions that it processed and cleared. Unlike its regular customers, these entities were not being reviewed through any Know-Your-Customer (KYC) processes or any of the Customer Identification Programs (CIP). Further complicating matters of identifying these entities and ascertaining relevant information was the lack of standardized referential data and distinct identifiers.

Read More »

Meet Our Clients