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Financial Services Risk & Compliance Optimization

In the last decade since the financial crisis of 2008, financial services firms have been addressing regulatory overhauls in  banking, investment management, and brokerage.  Many financial services firms are now focused on:

  • Expansion into non-bank businesses such as brokerage, investment management and insurance
  • Improving processes to gain efficiencies while still maintaining compliance
  • Utilizing technology such as blockchain and artificial intelligence to provide a competitive advantage

Our consultants have worked with financial services companies including banks, asset managers and broker-dealer  in operations, internal audit, compliance, and technology for the last 25+ years. Utilizing our broad industry experience and our active network of consultants, we are able to quickly provide a tailored approach to address your needs. See below for sample engagements.

Investment Adviser and Hedge Fund Operational Risk

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Broker-Dealer Compliance and Regulatory

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Banking Internal Audit and Operational Risk

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Recently, we took a look at FINRA’s May 2020 disciplinary actions and found that there were 3 cases relating to violations of FINRA 5210. Of the 3 firms, fines were...
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May 30, 2020

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May 15, 2020

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May 1, 2020

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April 27, 2020

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December 6, 2019

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