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Securities Compliance

Treliant’s experienced securities professionals assist broker-dealers, hedge funds, law firms, and investment advisors with compliance, risk management, and strategic advice and solutions. Our professionals have deep expertise in analyzing complex securities operations, portfolios, trades, assets, transactions and providing practical, business-oriented solutions in a complex regulatory environment.

Treliant professionals bring a range of private sector experience, from some of the largest and most complex securities operations in the world, as well as public sector experience, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the national banking regulatory authorities. Treliant’s services and solutions for securities industry clients are designed to manage risk and implement new compliance program requirements during a time of increasing expectations in the financial services industry generally and the securities industry in particular.

Treliant’s Securities Compliance Advisory Services include:

Broker-Dealer Compliance

Our securities experts assist broker-dealers with a range of business, risk management, and compliance needs, including:

  • Conduct Internal Investigations
  • Prepare Complex Portfolio Calculations
  • Implement Information Controls and Barriers to Lower Insider Trading Risk
  • Review Capital Markets Assumptions to Ensure they are Appropriate
  • Review Investment Policy Statements to Ensure the Broker-Dealer is Following them
  • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Protections
  • Review of Information Systems, Written Policies and Procedures
  • A Range of Litigation Support Services
  • Sales and Service Practices
  • Compensation and Incentive Plan Advisory
  • Compliance Management System (CMS) Implementation and Reviews
  • Regulatory Exam Preparation

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:

  • Internal Investigations
  • Independent Consultants and Monitorships Following Settlements
  • Related Receiverships
  • A Range of Litigation Support Services

Hedge Fund and Investment Advisor Compliance

Hedge funds recognize that they face new challenges as they come under increased regulatory and public scrutiny. Our securities professionals can assist you to:

  • Comply with the EU Alternative Investment Fund Managers Directive
  • Prepare for Regulatory Examinations
  • Conduct Your Annual Compliance Reviews
  • Complete Critical Due Diligence on your Third-Party Vendors, including research
  • Value Complex Assets and Portfolios
  • Strengthen and Enhance BSA/AML Protections
  • Create Effective Information Barriers and Controls to Lower Insider Trading Risk

Contacts

B. Scott Fisher B. Scott Fisher
Managing Director
Stephen C. Rudner Stephen C. Rudner
Managing Director
Waldo M. Abbot Waldo M. Abbot
Senior Advisory Board Member
Steven W. Pearlman Steven W. Pearlman
Senior Director
Kisha Perkins Kisha Perkins
Senior Director