WHO WE ARE

A Little About Us
CLC is a boutique consulting firm focused on providing regulatory assistance to small and mid-size trading firms in the securities and futures industries. The firm’s partners and senior staff each have over 20 years of industry experience, including senior positions held at the CBOE, broker-dealer firms, hedge fund and investment advisor entities. 
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Stock Exchange
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CLC also liaisons with legal, financial and technology professionals to help its clients secure additional services when needed. The regulatory environment has become increasingly complex; CLC’s objective is to ease the regulatory burden in today’s industry to allow firms to focus on their business.
Command Line Compliance partners with clients to help them meet the regulatory challenges
Our Core Values
Ethics, honesty and trustworthiness are core to our business.  We partner with our clients to help them meet the regulatory challenges presented in today’s trading environment. We treat your firm’s business as though it were our own.
Meet Our Team

PATRICIA CERNY

CLC Partner & Consultant

DONNA MACDONALD

CLC Consultant

JAKE SHANLEY

Technology Consultant

MIKE BARRY

CLC Partner, Director of Operations and leads CLC’s electronic communications (e-mail/IM) review program. 

MARGARET O'MALLEY

CLC Electronic Communications Technician & Advisor

KATHRYN LEY

Operations Consultant

DAVID BARCLAY

Senior Consultant & Attorney