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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).

Compliance Consulting

Experienced & knowledgeable CLC staff can provide one-on-one consulting to help your firm navigate complex compliance and regulatory requirements.

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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.

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Registration and Filings
Complete services that cover:
Initial SEC broker-dealer filing
FINRA or Exchange Membership Applications
Routine filings (e.g. 13H Large Trader, 17H Risk Assessment, Form Custody)
Registration Services (e.g. U-4, U-5 updates)
Legal and Financial
CLC can provide general financial and legal advice and rule interpretation guidance. We will put your firm in touch with qualified legal and FINOP service providers for more targeted services.
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Web Design and Development Consulting
We provide web design and consulting services to firms needing updates on their webpages (or in need of one) to reflect their particular strengths and competencies. We examine and analyze the current contents of your site and provide feedbacks and recommendations towards a redesign and development and how it can be adapted to fit regulatory agencies requirements. CLC has an in house web design team that handles this service.
CLC’s charges are reasonable and customized. Clients determine the services required for their particular business. We offer a standard monthly fee that covers a complete set of services, pricing based on project work or per hour rate for more targeted assignments.  We are ready to meet with you for a free evaluation and assessment of your business. So call or email us today!
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