Regulation And Compliance
While we are no Legal and Compliance specialists, we have been involved in pre-trade and post-trade surveillance for decades. We assist Senior Management in formulating and implementing new guidelines on conduct and market behavior. Based on collected data, we can instigate automated real-time alerts. Further automated monitoring and reporting can be carried out on an ongoing basis with an involvement of Senior Management and Compliance personnel. Having adequate control instruments in place, allows our clients to concentrate on leading and growing the business further.
We also assist you with the investigation of FX related financial transactions.