MARKET STRUCTURE ADVICE – GMAG’s market structure experts can advise startups and incumbents on all aspects of creating an exchange, broker-dealer or ATS; and, help them with regulatory compliance and surveillance requirements.
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Regulatory and Compliance Advice – Our seasoned compliance professionals can help you stay current in the face of an ever-changing regulatory environment, and avoid the pitfalls that could result in investor harm or financial and reputational loses to your firm. GMAG is proudly listed in the Finra Compliance Directory.
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Regulatory TechnologY – GMAG’s unique mix of professionals bring together deep experience in operations, trading, regulation and compliance to help fintech and regulatory technology bridge the gap.
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PRE-IPO AND LISTED COMPANY ADVISORY – While you are the final decision-maker as to which stock exchange your company will ultimately list, GMAG’s seasoned team of listings/capital markets professionals will help ensure that your decision is fully informed. We will also help you prepare for the listing process (IPO/Spin/Carve), as well as for life as a public company. After listing, we can help you resolve listed company regulatory compliance issues that might arise, refine corporate messaging, and understand public company best practices.
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Cloud Governance – GMAG works with the largest CSP’s in the business and we understand how financial firms use data for business, regulation and compliance. GMAG is a participant in the AWS partner network.
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Training – Timely, relevant and informative training is key to actively engaging staff in a culture of compliance. Our professionals can design and deliver bespoke training programs on all aspects of the financial markets, from market structure to product implementation.
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Broker Dealer Compliance – Through GMAG’s affiliated company Integrated Compliance Consulting, we provide outsourced Chief Compliance Officer services to small and medium sized broker dealers.