Trading Firm Services
We offer comprehensive compliance services for proprietary trading firms in the securities and futures space (e.g. written supervisory procedure manual updates, regulatory inquiry responses, educational & annual compliance training, e-mail/IM, outside brokerage account reviews and AML audit).
Experienced & knowledgeable CLC staff can provide one-on-one consulting to help your firm navigate complex compliance and regulatory requirements.
Examination and Assessments
CLC can assist your firm in preparing for a regulatory, financial or operations exam. We can also conduct an independent analysis of your business to identify potential regulatory risks.
Consolidated Audit Trail ("CAT")
CLC has partnered with Traildog Software, a boutique industry technology firm that specializes in CAT reporting. CLC provides compliance support to act as a liaison to bridge the gap between compliance and technology.