Trading & Markets Services
- Alternative Trading Systems Annual Audit
- Annual Reports: DCM/DCO/SD/MSP
- CAT (Consolidated Audit Trail) Application
- Consolidated Audit Trail Implementation
- DCM/DCO Application
- Digital Asset Services
- Executive Recruiting
- Expert Witness & Litigation Support
- FCM, Swap Dealer and Major Swap Participants Regulatory & Compliance Services
- Municipal Issuance, Underwriting, and Continuing Disclosures
- Market Access Rule 15c3-5 Assessments
- Project Management
- National Futures Association Registration
- Regulations for Systems Compliance & Integrity (“Reg SCI”)
- Technology Implementation
- Trade Desk Review
- Trade & Regulatory Reporting
- Training & Education
- Written Supervisory Procedures