Understanding The Nexus Of Compliance And Technology

We know the products that are in the market places for compliance – their pros & cons: and, we are prepared to help you evaluate what works best for you. In fact, GMAG will help you customize your approach to compliance not only by helping you develop your policies and procedures, but by evaluating the best REG Tech solutions to implement. Our goal is to help you execute your plan.

  • Surveillance Development

    Our consultants have worked to develop the very surveillances that are used by the some of the major Regulatory bodies in the U.S., so who better to help you design your own surveillances to keep your firm on the straight and narrow, and in line with those very same Regulatory bodies.

  • Cloud Implementation

    Thinking of migrating to the Cloud? We have worked with the leading Cloud providers to understand the migration issues and costs and can help you solve those plus the policies, procedures and audit requirements in making such a move.

  • CAT Migration

    GMAG was the primary advisor to one of the three finalists for the CAT Processor. GMAG advised our client throughout the selection process, from a group of over 20 bidders to the final three. We understand the requirements, because we walked the path with our client. We will work with your firm to address the new requirements needed to comply with the CAT, including updating your current WSP’s, and identifying systems to collect, report and maintain your data.

  • Best Ex Analytics

    Our affiliation with one of the leading TCA and Best Ex. analytics firms on Wall Street gives you easy access to the much-needed services in today’s electronic trading world.

  • Automated Controls

    Are you aware of every type of computer resource that is connected to your company’s information? Are your data control procedures up to date and properly address your business model? Let our team help identify potential issues and develop the correct procedures to help minimize the risk to your firm.

  • Blockchain

    There is no doubt that technology is driving changes to today’s markets and there is no bigger change coming than that of Blockchain. This revolutionary way of ensuring continuity through a secure, unmutable record of transactions will have huge intermediary effects on every process on Wall Street. Want to learn more, we can help.

  • Data Analytics

    GMAG’s professionals have deep experience with data analysis and market structure. We can assist in developing methods to process and examine data sets in order to draw conclusions about the information they contain.

REGULATORY TECHNOLOGY

How We’ve Helped Our Clients

GMAG was retained by a major cloud service provider to assist in its penetration to geographic locations across the globe. Many international regulatory regimes have not updated their technology and third-party outsourcing requirements and GMAG was hired to draft suggested language which could be used for this purpose. GMAG focused on cloud migration hurdles common among many of these jurisdictions and included: Outsourcing, Audit Standardization, Subcontracting, DR/Business Continuity, Security, Privacy and Data Protection to name a few.

GMAG reviewed Google’s capabilities in assisting their clients in complying with SEC Reg SCI and supplied recommendations to strengthen their policies and procedures.

GMAG was instrumental in assessing the technological and compliance risk implications of implementing a new algorithmic trading layer into their order execution technology stack.