Regulatory vigilance against the potential for improper trading continues to drive new enforcement and legal actions in the financial services industry – years after the momentous breakdowns at some of America’s largest investment banks in 2008. Damaged bank reputations, eroded client trust, and diminished financial performance have been compounded by the mounting cost of compliance with new regulations aimed at controlling the trading business. New settlements and enforcement actions are being announced almost weekly, with penalties, fines, and legal settlements already totaling over $25 billion.
Treliant’s Financial Markets Conduct and Compliance practice focuses on the challenges facing banks’ trading operations. How best to manage the conduct of employees and managers? And how can banks bring their business operations into compliance with both the letter of new regulations and the tacit regulatory expectations for appropriate behaviors? Made up of government veterans and bank business professionals, from the highest levels, our firm brings deep knowledge of both sides of the compliance challenge – to help clients understand a regulator’s view of their trading activity while addressing the realities of today’s largely automated trading activities.
Treliant is at the forefront of this work. We help detect and remediate misconduct at large international banks. We help those banks identify, prevent, and correct issues stemming from trading room misconduct.
Our Markets Conduct and Compliance Global Advisory Services include: