Today’s regulatory structure is complex, complicated and getting more so each day. Understanding not only what the rules of the road are, but why they are what they are, helps you develop a better plan to build compliance into your program. We have worked with regulators for close to forty years. We understand what they are trying to accomplish, and how you can get ahead of the curve by meeting regulators expectations.

We have managed some of the industry’s largest conversions ever, including Reg NMS, Reg SCI, Consolidated Audit Trail, T+1, and many others.

We understand “regulator speak” and recognize that many interfacing with a regulator simply do not. We have heard many times from a potential client that they had a great meeting with a regulator and that their regulator told them that their approach was “novel”, thinking this was a good thing. We will tell you right now, it is not. What the regulator is telling you is that you are breaking precedent and approval will be difficult.

Allow us to help you interpret what regulators are telling you, help you build a reasonable response, and help you manage your compliance approach. It can make a world of difference.