• Home

  • About

  • Client Segments

    • Asset Management Firms
    • Central Clearing Corps.
    • Commodity Trading Advisors
    • Crypto Trading Platforms
    • Financial Technology Services Providers
    • Exchanges
    • Futures Commission Merchants
    • Securities Broker-Dealers
    • Investment Banks
    • Swap Execution Facilities
    • Swap Dealers

  • Principal Consulting Areas

    • Business Continuity Management
    • Business Strategy
    • Cybersecurity Resilience
    • Due Diligence Reviews
    • Electronic Trading
    • Expert Witness and Prior Art Research
    • Market Data Governance and Controls
    • Financial Technologies
    • Market Research
    • Market Structure/Microstructure
    • Operational Risk Management
    • Project Management and Control
    • Regulatory Compliance Reviews
    • Systems Requirements and Analysis
    • Trading Lifecycles

  • Perspectives and Research

    • 10 Things You Probably Didn't Know About
    • The SEC's 2021 Exam Priorities
    • Cybersecurity Workshop - 2020
    • FIA COVID-19 Survey Results
    • Financial Services Survey: C-19 Impact
    • SEC Regulation SCI Audits
    • Interview - the Life of SCI, 2015
    • Swap Execution Faciliies Overview
    • High Frequency Trading Overview
    • Evolution of U.S. Markets 2000-2018
    • Case Study: OMS Regulatory Compliance
    • Case Study: Annual CCO Reporting
    • Volcker Rule Update - Q2 2018
    • Inv. Mgmnt. Survey: Hurricane Sandy

  • More

    Contact Us
    OMS Compliance White Paper 1107.pdf

    © 2001 - 2021,  Tellefsen and Company, L.L.C.

    Proudly created with wix.com

    • Black LinkedIn Icon
    • Black Facebook Icon