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
Use tab to navigate through the menu items.
Contact Us
An Update, Overview and Background on the Volcker Rule, Impacts on Proprietary Trading, Market Making, Fund Ownership Issues, Affiliated Transactions
