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: