What we offer

In every project we strive

  • to identify unspotted areas of your highly needed attention
  • to make sure you have no brute-force rules in place
  • to check the economics of your compliance and surveillance operations
  • to assess your knowledge level and identify the appropiate risk exposure
  • to review your documentation and log functionalities
  • to connect everything and let you master the challenges on your own
   
“Our value proposition is to make you tackle surveillance and compliance on your own. Our added value is based on more than 20 years of practical experience and we make sure, you have been walked through every aspect of mastering compliance and surveillance regulations.”
no regulatory drowning

Offered Services

  • Preparation of expert-wittness opinions for courts and sanctions committees
  • Development of necessary quantitative data analysis/methodology
  • Regulatory assistance in the regulatory classification of market models, trading strategies and products
  • Explanation of trading and market models and functional explanation of the exchange trading process
  • Analysis and assistance with the regulatory classification of your manual and algorithmic trading strategies with regard to their compatibility with the trading rules of the exchanges/trading platforms and other regulatory requirements (e.g. MIFID II, MAR, MAD)
  • Analysis and assistance in the regulatory classification of planned trading strategies and products with regard to their compatibility with the trading rules of the exchanges/trading platforms and other regulatory requirements (e.g. MIFID II, MAR, MAD)
  • Design and assessment of compliance organisations, taking into account the respective regulatory requirements and observing the principle of proportionality
  • Compliance risk analysis of existing compliance organisations and elaboration of corresponding recommendations for action to reduce organisational risks
  • Process analysis and proposals for action to comply with “Know your client” regulations
  • Process analysis and proposals for action on compliance with rules to prevent market abuse (insider trading, market manipulation)
  • Analysis and recommendations for action on questions and individual issues concerning stock exchange organisational law (e.g. rules and regulations, admission of participants, algorithmic trading, high frequency trading)
  • Preparation of and assistance with supervisory audits and special audits
  • Assistance in conducting internal investigations to detect and identify regulatory/criminal issues
  • Assistance with correspondence with supervisory authorities
  • Assistance in meeting notification, reporting and publication requirements
  • Assistance in the selection and practical use of electronic trading monitoring systems for client and/or proprietary trading
  • Assistance in selecting electronic know-your-customer systems (registration of new customers and screening of existing customers, in particular to detect money laundering and identify conflicts of interest)
  • Regulatory assessment, risk analysis and relevance classification of electronically generated anomalies (“alerts”) of electronic monitoring systems for client and/or proprietary trading of financial products
  • Assistance in the parameterisation of electronically generated anomalies (“alerts”) of electronic monitoring systems for client and/or proprietary trading of financial products based on regulatory relevance and supervisory risk

We are here to help!