Comprehensive support from entity registration and governance programs to regulatory reporting, exam preparation, and swap dealer oversight designed to keep your firm compliant, confident, and ahead of regulatory expectations
Entity Registration Support (SEC, CFTC, NFA, FINRA)
Assistance with initial registration, documentation, and regulatory onboarding across major U.S. regulatory bodies.
Ongoing Swap Dealer Compliance Support
Continuous advisory services to maintain full compliance with swap dealer regulatory obligations and supervisory expectations.
Chief Compliance Officer (CCO) Report Assistance
Development, review, and enhancement of annual CCO reports, ensuring accuracy, completeness, and regulatory alignment.
Regulatory Questionnaire Review
Comprehensive support with regulatory questionnaires, including Annual Questionnaires, BCP assessments, 7R filings, and SBSE-A/E requirements.
Swap Dealer Control Framework Review
Independent evaluation of control frameworks to ensure operational effectiveness and adherence to regulatory standards.
Swap Dealer Governance Program Implementation
Design and implementation of governance programs that strengthen oversight, accountability, and compliance governance.
Swap Dealer Health Check & Program Risk Assessment
End-to-end health checks evaluating program design, risk exposure, control effectiveness, and compliance maturity.
Testing, Monitoring & Surveillance Program Review
Assessment and refinement of testing, surveillance, and monitoring programs to enhance risk detection and supervisory oversight.
Regulator Engagement & Examination Preparation
Advisory support for regulatory interactions, exam readiness, documentation preparation, and response strategies.
Business Advisory & Training Services
Targeted business advisory solutions complemented by tailored compliance and regulatory training programs.
Rule Traceability Framework Review & Implementation
Development and enhancement of rule traceability frameworks to ensure clear alignment between regulatory requirements and internal controls.
Substituted Compliance Framework Review (CFTC & SEC SBSD)
Evaluation of substituted compliance arrangements to confirm regulatory equivalence and operational alignment.
Policy & Procedure Review
Comprehensive review and enhancement of policies and procedures to ensure accuracy, clarity, and regulatory consistency.
Regulatory Submissions Assistance (CFTC FOCUS, SEC SBSD)
Support with the preparation, review, and submission of key regulatory reports, ensuring timely and accurate filings.
Regulatory Reporting Overview (CFTC Part 43-45, SEC SBSD 901-909)
Comprehensive guidance on trade reporting requirements under CFTC Part 43-45 & SEC SBSD 901-909 regulations.
Margin & Capital Calculation Assistance
Advisory support for margin methodologies, capital calculations, and compliance with regulatory capital requirements.
Audit Assistance
Preparation and support for internal, external, and regulatory audits, including documentation, remediation planning, and process improvements.
General Regulatory Advisory Services
Broad-based advisory support across Dodd-Frank, Volcker, CFTC, NFA, SEC, and FINRA regulatory frameworks.
Regulatory Examination Preparation
Comprehensive preparation for regulatory examinations, including gap assessments, document readiness reviews, mock interviews, and end-to-end exam management.
