top of page
Regulatory standards and resultant enforcement actions in today’s trading environment have greatly increased a firm’s compliance risk.
The SEC, CFTC, FINRA and Exchanges have raised the bar and expect even the smallest proprietary trading firm to have a top-notch compliance program.
CLC has the knowledge and experience to assist in the development or maintenance of your firm’s compliance program so that you can focus on growing your business and achieving success.
We offer comprehensive and customized service packages at an affordable price including the following:
Draft or update Written Supervisory Procedures and related policies
(e.g. AML, Insider Trading, Electronic Communications, Cybersecurity)
FINRA Exam and Audit Support
Regulatory Inquiry Responses
Independent AML Review
Regulatory Filings (e.g. Large Trader)
Registration Services (e.g. U-4, U-5)
Updates regarding recent rule changes, regulatory policies
Electronic Communications Reviews
Outside brokerage account reviews
SEC, FINRA and Exchange Membership Applications
Consolidated Audit Trail ("CAT") Technology & Compliance Support
Assist with "CAT" reporting. Provide technology & compliance support.
bottom of page