Internal Audit Support (subject matter expert support)
Forensic & Due Diligence
Forensic & Due Diligence
Forensic & Due Diligence
Trade Analysis (market disruption/manipulation and trade surveillance)
Due Diligence Reviews
Bespoke Operational Assessments (used for client application or lending approval)
CLIENT BASE
Industry Registrants
Industry Registrants
Industry Registrants
Futures Commission Merchants (FCMs)
Clearinghouses (DCOs)
Exchanges (DCMs)
Broker Dealers (BDs)
Swap Execution Facilities (SEFs)
Swap Dealers (SDs)
Introducing Brokers (IBs)
Commodity Trading Advisors (CTAs)
Commodity Pool Operators (CPOs)
Retail Forex Dealers (RFEDs)
Market Participants
Industry Registrants
Industry Registrants
Proprietary trading firms
Commercial hedgers
Mutual fund companies
Public pension funds
Service Providers
Industry Registrants
Service Providers
Futures industry settlement banks
Commercial lending banks
Independent software vendors
Law firms
Public accounting firms
SOLUTIONS & RECENT EXAMPLES
Initial applications and filings for CFTC registration/NFA membership
New exchange membership and clearing house applications
New FCM (clearing, non-clearing) go-live planning and implementations
Financial & regulatory controls and reporting for CFTC Registrants/NFA members
Clearinghouse (DCO) risk review program design; assurance/risk reviews of clearinghouse members and applicants
Development/implementation of operational processes (and documentation of written policies and procedures
manuals) for accounting, treasury, operations, risk management, and compliance departments
Establishment of clearing & settlement banking relationships
Central Counterpart Clearing (CCP) application and advisory services for US and global exchanges
Trading front-end, order management, middle and back-office software vendor reviews and selections
Development of CFTC required risk management programs and risk exposure reporting
Development of compliance programs and Chief Compliance Officer compliance reporting
Development of Cybersecurity Frameworks and Information Systems Security Programs (ISSPs)
Performance of risk and operational due diligence reviews of various derivative industry participants for
commercial bank credit and risk committees
Expert witness services, and litigation support for internal and external legal counsel
Trade analysis and assessment for market disruption and market manipulation
Trade analysis and assessment for managed account trade allocations
Independent third-party risk reviews and assessments of risk management programs, compliance programs and
operational procedures to ensure adherence to, and effectiveness of, policies and procedures
Providing subject matter expertise to Internal Audit Departments and independent third-party assurance on the
suitability of design and operating effectiveness of compliance, operational, and reporting programs
Development of DCM, SEF, DCO, and institutional client solutions for cryptocurrencies, OTC swaps, global OTC FX,
binary options, physically settled power, movie box office receipts, and spot equivalent futures