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Securities Compliance

Treliant’s experienced securities professionals assist broker-dealers, investment advisors, hedge funds, and law firms with compliance, risk management, investigative, remediation and strategic advisory solutions. Our professionals have deep expertise in analyzing complex securities compliance issues and providing practical, business-oriented solutions in a complex regulatory environment. 

Treliant’s professionals bring a range of private sector experience from small to institutions to some of the largest institutions in the world, as well as public sector experience, from regulators such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), FinCEN and national banking regulatory authorities. We know how to right-size compliance risk management programs.

Treliant's team of former compliance professionals, regulators, attorneys, data experts, forensic accountants and investigators, among others, help securities industry clients manage risk through the ever evolving regulatory landscape. Whether it is through the implementation of a new compliance program, managing a complex investigation or performing a remediation plan pursuant to a regulatory order, Treliant’s experienced professionals bring the requisite business knowledge and industry experience to guide securities firms through their compliance and regulatory needs.


Treliant’s Securities Compliance & Investigations Advisory Services include:

Broker-Dealer Compliance

Our securities experts assist broker-dealers with a range of business, risk management, and compliance needs, including:
 
  • Regulatory and Internal Investigations
  • Sales Practices and Supervisory Investigations, Testing, and Reviews
  • Development, Review, and Testing of Compliance Systems; Written Policies and Procedures
  • Regulatory Exam Preparation, Internal Audits and Mock Examination Services
  • Implement and Review Information Controls and Barriers to Lower Insider Trading Risk
    • Proactive and Responsive Forensic Reviews of Trading Behaviors
    • Trade Surveillance Programs and Investigative Alert Protocols
  • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Programs
    • Economic Sanctions/Office of Foreign Assets Controls Compliance Programs
    • Anti-Bribery and Corruption Prevention, Detection, and Response Services
  • Complete Critical Due Diligence on Customers, Third-Party Vendors, and Transactions
  • Comprehensive Litigation Support and Forensic Services
  • Electronic Communications Surveillance and Review Services
  • Review Compliance with Investment Policy Statements
  • Development, Implementation, and Review of Information Systems, Cybersecurity, and Data Privacy Programs
  • Co-Source Staff / Staff Augmentation
  • FINRA, SEC and State Registrations, and Filings 

Advisory Services For Law Firms and General Counsel

Treliant has deep experience working closely with law firms and general counsel to assist clients with business-critical, often highly visible, matters, such as those requiring:
 
  • Regulatory and Internal Investigations Across Multiple Industries
    • Comprehensive Litigation Support and Forensic Services 
  • Independent Consultancies and Monitorships Following Enforcement Actions
  • Advisory Services on Remediation of Enforcement Action Issues
  • Design Sustainable Compliance Programs

Investment Advisor, Hedge Fund, and Private Equity Compliance

Investment advisors, hedge funds, and private equity firms recognize that they face new challenges as they come under increased regulatory and public scrutiny. Our securities professionals can assist you with:
 
  • Regulatory and Internal Investigations
  • Development and Implementation of Compliance Programs / Written Policies and Procedures
  • Regulatory Exam Preparation, Internal Audits, and Mock Examination Services
  • Conduct Annual Compliance Reviews and Compliance Testing
  • Proprietary and Employee Trading Reviews
  • Annual Education and Compliance Training, including Fiduciary Duty and Conflict of Interest Guidance
  • Outsourced Chief Compliance Officer Services
  • SEC and State Registrations and Filings
  • Co-Source Staff / Staff Augmentation
  • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Programs
    • Economic Sanctions/Office of Foreign Assets Controls Compliance Programs
    • Anti-Bribery and Corruption Prevention, Detection and Response Services
  • Complete Critical Due Diligence on Customers, Third-Party Vendors, and Transactions
  • Create Effective Information Barriers and Controls to Lower Insider Trading Risk
  • Development, Implementation, and Review of Cybersecurity and Data Privacy Programs, including for Portfolio Companies


 If your needs are not addressed by the advisory services listed above, view more of our Services or 

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