Treliant’s experienced securities professionals bring private and public sector experience to the largest global financial institutions.
Our team of ex-regulators, experienced CCOs, and consultants have deep expertise in analyzing complex securities compliance issues and providing practical, business-oriented solutions in a regulatory environment that can be challenging to navigate. Treliant’s expert team features former regulators from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), FinCEN and national banking regulatory authorities. We know how to right-size compliance and risk management programs.
Treliant has a proven track record of assisting traditional & alternative managers, broker-dealers, investment companies, & commodity firms in the following areas:
Registration of BDs, RIAs, & CPOs
Our securities and investment professionals can assist you with all aspects of establishing a regulated entity. This includes all forms of broker-dealers, registered investment advisers, exempt reporting and state advisers, and commodity pool operator registrations.
Develop a tailored regulatory action plan based on business needs
Draft Form ADV Parts 1, 2A, and 2B
Complete the New Member Application, Form BD, and all related supporting information
Process required CFTC and NFA forms
Develop compliance programs, compliance manuals, and supervisory procedures
Establish required systems and vendor support relationships
Guide you through the regulatory interview process and new member interview
Assist with SRO and state registrations
Support employee licensing and training process
Conduct training and pre-approval preparation
Advise on regulatory wind-downs and withdrawals, regulated entity M&A and sales, as well as new business expansion
Assist with non U.S. registrations
Compliance Program Design & Support
Our team of compliance professionals has the practical industry and regulatory knowledge and organizational experience to offer compliant solutions in a commercial context.
Risk assessment and benchmarking
Program development and upgrades
New regulatory requirement implementation
Business expansion support
Corrective action planning and implementation
Project management and support
New offices and geographic expansion
Budget and cost management solutions
Technology and vendor selection and implementation
Testing & Surveillance Programs
Our securities and investment professionals have backgrounds in trading, audit, and compliance testing, as well as regulatory exams and investigations. This allows us to support the testing and verification needs of our clients.
Risk identificatio and program design
Annual RIA examinations
Mock SEC exams
Quarterly and monthly testing programs
Annual FINRA 3130 requirements
OSJ and branch examinations
NFA self assessment
Surveillance program design, development, and technology support
Market & trading surveillance
Employee & electronic communication surveillance
Investment and M&A due diligence of regulated entities
Regulatory Exam Management
Our experienced team of ex-regulators and experienced CCOs has deep experience conducting and supporting regulatory examinations and investigations from both sides of the table
Conduct mock regulatory exams and interviews
Run exam preparedness exercises focused on document production and technology
Staff regulatory exam training
Privileged review coordination
Exam support and preparation
Drafting regulatory examination presentations
Review of email and document production
Staff augmentation and secondments
Analysis of regulatory issues and remediation assistance
Advise on regulatory examination disclosures
Resource management can often be one of the most daunting tasks for CCOs and other senior managers. Our staff of compliance professionals is positioned to assist organizations for both long and short term engagements and at all experience levels.
Offsite managed services for trading surveillance; marketing material review; regulatory reporting; employee compliance and personal trading; and email review
Co-sourced audit support
Client onboarding and KYC projects
Long term secondments
Interim CCO roles
Risk management, CISO, and vendor management support
CCO support engagements – daily, weekly, or monthly support
Project management and resources
Data Security & Privacy
Our team of professionals is able to bring a diverse set of skills and backgrounds to your cybersecurity and privacy issues. With deep global securities and investment management risk and compliance experience, combined with broad technical skills we are uniquely positioned to develop a tailored cyber or privacy solution to your organization.
Cyber and privacy infrastructure, governance and program design and implementation
Regulatory and technical vulnerability testing
Vendor management program design, implementation, and outsourcing
Training, management reporting, and global support
Investment due diligence and portfolio company monitoring
Incident management response support
Issue remediation and strategic planning
Investment Due Diligence
Investment and M&A transactions contain significant regulatory and control risks, whether they are the purchase of a regulated entity as an affiliate, a fund investment into an emerging manager, or an operating company purchase of a PE portfolio company
Regulatory due diligence
Global financial crimes compliance risk assessments
AML and sanctions screening
Post acquisition road maps and planning
Standard deal templates and checklists
Investor reporting and due diligence memos
Investigations and Advisory Services for Law Firms and GCs
Whether the issue is regulatory, litigation, or internal investigation focused our team of industry experts, forensic technicians and accountants, lawyers, and experienced investigators can work with you and your counsel to identify the issues in a rapid and evolving privileged setting.
Data collection, imaging, and analysis
Expert witness services
Digital and forensic investigations
Bankruptcy and asset recovery
Regulatory investigation support
Investment and vendor fraud investigations
Successful risk management programs in the securities and investment management industry requires not only deep regulatory, product, and industry knowledge, but a deep understanding of processes and controls. Our team has the knowledge and experience to provide timely and practical solutions to these risk issues.
Risk inventory and scoring
Risk mitigation and process implementation
Risk disclosure and reporting
Risk monitoring and testing
Our team has a broad range of financial services skills and deep process and controls knowledge and experience in testing and examination. All of which can be deployed in a co-sourced independent relationship with an internal audit team.
Audit program design and planning
Testing execution across a wide variety of regulatory and control functions
Forensic testing during investigations
End-to-end reviews ad process flow mapping
Cross business unit regulatory insight and risk identification
The deep regulatory experience of our consultants provides practical and unique insights when dealing with the development and implementation of regulatory corrective actions.
Issue validation and corrective action planning
Project planning and implementation
Project management and subject matter expert advisory
Corrective action implementation
Regulatory sanctioned monitorships
Board reporting and oversight
Global Financial Crimes Compliance
Our global team of regulatory, industry, technical, and analytical experts is well positioned to assist your organization with its financial crimes compliance needs.
Program development and assessment
Investment and M&A due diligence
Corrective action planning and issue remediation
Data analytics and model validation
Customer and investor profiling and due diligence
Co-sourced audit support and compliance testing programs
SAR and compliance alert surveillance programs
Risk assessment and reporting
Regulatory remedial action projects
We perform mock examination services, internal audits and other regulatory examination preparation services. Treliant consultants act as 'auditors in charge' or 'regulatory examiners' and 'exam managers' in these offerings to firms across various business lines.
FINRA Rule 3120/3130 Testing
We conduct FINRA Rule 3120/3130 testing and verification to determine whether the firm’s supervisory procedures are reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA rules. Services include: review of supervisory control policies and procedures; risk-based gap analyses and sampling; identification of exceptions and areas for amendments, enhancements or additions to supervisory procedures; and assistance with making necessary changes to firm procedures. We also prepare Rule 3120 reports and Rule 3130 CEO certifications.
Lower Insider Trading Risk
We implement and review information controls and barriers to lower insider trading risk. Services include: proactive and responsive forensic reviews of trading behaviors; assessments and enhancements of trade surveillance programs and investigative alert protocols; and proprietary and employee trading reviews.