Design, implement, and assess your capital markets programs and processes.
Treliant’s highly experienced team of former in-house compliance officers, traders, and regulators can help your organization design and implement robust and sustainable capital markets programs and processes, including those related to broker-dealer compliance, culture and conduct risk management, Foreign Corrupt Practices Act/U.K. Bribery Act compliance, fixed income sales and trading, including primary dealer, fraud risk management, sales practices compliance, and surveillance. We can also assess the efficacy of your programs through a health check, gap analysis, and independent audit.
Assess Financial Crime Compliance Programs within capital markets trading business, including money laundering and sanctions evasion
Develop broker-dealer compliance program manuals and supervisory written procedures
Treliant's Capital Markets Services Include:
Culture and Conduct Risk Management
Program assessment, operating model design and implementation, including governance, three lines of defense, risk dashboards and policies/procedures
Develop advanced approaches for proactively identifying potential employee misconduct
Treliant's Capital Markets Services Include:
FCPA; UKBA
Undertake control testing for corruption and bribery risks within a U.S. registered broker-dealer with a global presence
Treliant's Capital Markets Services Include:
Fixed Income Sales and Trading
Undertake a cost/benefit analysis to evaluate the opportunity to become a primary dealer in U.S. Treasury securities
Treliant's Capital Markets Services Include:
Fraud Risk Management
Program assessment, operating model design and implementation
Data lineage analysis, fraud rules/scenario development and implementation, fraud risk management systems implementation
Treliant's Capital Markets Services Include:
Sales Practices
Assessment of governance framework
Development of sales practices metrics for management reporting
Treliant's Capital Markets Services Include:
Surveillance Program
Assess Compliance Surveillance programs covering a variety of behaviors, including treating clients fairly (e.g. front running), market manipulation (e.g. insider trading) and many others
Develop a comprehensive Compliance Surveillance Program target operating model
Evaluate existing surveillance systems
Implement third-party surveillance vendor solutions in a capital markets business
Broker-Dealer Compliance
Treliant was engaged by large European financial institution to perform an assessment of the financial crimes related risks (i.e. money laundering and sanctions evasion) in its capital markets business.
Treliant assisted the firm in identifying control weaknesses which informed the development of internal control enhancements that strengthened the firms focus on rooting out financial crime in its capital markets business and broker-dealer.
Fixed Income Sales & Trading
Treliant was engaged by a large global financial institution to provide advisory assistance to evaluate the costs and benefits of submitting an expression of interest to the New York Federal Reserve Bank of New York (“NY Fed”) to become a primary dealer in U.S. Treasury securities.
Treliant provided advisory support for establishing a commercial relationship with the NY Fed as a primary dealer in U.S. Treasury securities. The key component included providing an outline of all objective requirements necessary to become a primary dealer, perform a gap analysis against industry peer firms, and cost/benefit analysis supporting an implementation plan.
Culture and Conduct Risk Management
Treliant was engaged by large global financial institution to perform a gap assessment of the firms culture and conduct risk management program to identify areas of the program that would benefit from enhancements relative to industry standards and regulatory expectations.
Treliant worked with the firm implement key components of the conduct risk management program including governance, metrics/reporting, policies and procedures to strengthen the program.
Treliant works closely with its clients to understand their needs and design an appropriate work plan and approach to each engagement. Learn more when you connect with our team.
