Financial Markets Consulting, LLC
126 S. Harvey Ave.
Oak Park, IL 60302
United States
sutphen
For firms that wish to have a third party provide a second set of eyes on their internal procedures for onboarding, risk management, and/or transaction review, FMC can provide a health check which can cover the following areas:
For entities subject to a CFTC/SEC/DOJ non-prosecution or delayed prosecution agreement in the derivatives industry which require an independent monitor, FMC can fulfill the independent monitor function. Such arrangements are usually customized for a particular situation, but usually cover such areas as customer onboarding, transaction reviews of clients and employees, internal disciplinary processes, and regulatory reporting.
Besides its deep expertise in the industry, FMC is experienced at depositions and providing expert testimony in arbitrations and litigation.
FMC can help guide firms through technology-related decisions such as deciding when to update technology, analyzing build or buy questions, vendor selection, and project implementation management.
FMC can help train your staff in various areas, including Rules and interpretations, violation detection, client onboarding, risk management, and other areas as necessary.
Copyright 2010 Financial Markets Consulting, LLC. All rights reserved.
Financial Markets Consulting, LLC
126 S. Harvey Ave.
Oak Park, IL 60302
United States
sutphen