RPM Financial Markets Group

Enterprise Risk Management • Regulatory Compliance • Operational Assurance
Derivatives Consulting:  We leverage our industry experience and subject matter expertise to quickly develop and implement effective solutions that integrate easily into existing operations.

We have been directly involved in developing the markets, programs, and systems that have revolutionized the way business is now conducted in the derivatives industry.  Our recent experience includes:   
  • Developing Cybersecurity Frameworks and Information System Security Programs (ISSPs) for Futures Commission Merchants (FCMs) and other NFA Members (RFED, IB, CTA, CPO) to satisfy CFTC and NFA requirements
  • Performing independent third-party risk management reviews of FCMs and Swap Dealers (SD)
  • Developing Risk Management Programs and Regulatory Compliance Programs for FCMs to satisfy CFTC regulations
  • Developing Regulatory Compliance Programs for global derivatives clearing houses in the US and Europe to satisfy new CFTC and SEC regulations and IOSCO guidelines.
  • Conducting independent third-party reviews and gap assessments based on new CFTC regulations, and developing required procedures and documentation to address identified issues.
  • Developing annual compliance reports.
  • Preparing regulatory applications documentation for Derivatives Clearing Organization (DCO), Swap Execution Facilities (SEF), FCMs, and CTAs.
  • Authoring the first Form DCO application filed under the Dodd-Frank regulations.
  • Developing contract markets and central clearing solutions for OTC swaps, global OTC FX, retail customer markets, binary options, weather derivatives, physically settled power, emissions, spot equivalent futures, movie futures, OTC chemicals , and OTC metals. in the US and Europe.
  • Developing technical requirements and validating functional performance for trading, clearing and back office systems