Each firm has different needs. TRADEliance has a solution to cater to yours.
Our consultants get it - they have dealt with the same issues your firm is facing. Partnering with TRADEliance's consultants can provide you with the knowledgeable resources you need.
Finally, your firm does not have to decide which fire to put out first.
TRADEliance is Committed to your Success
TRADEliance consultants are here to help ease the burden of your workload while delivering exceptionally detailed, efficient, and compliant results.
We assist firms with projects that contribute meaningfully to the success of your compliance or operations programs, such as:
- Conducting detailed mapping exercises of processes or regulations, providing clients with a roadmap to success.
- Conducting in depth data integrity testing to ensure the accuracy of your firm's records.
- Navigating front/middle/back-office connectivity to advise clients on more effective or streamlined ways of doing business.
- Assisting clients with creating, developing, or testing surveillance & supervision processes reasonably designed to mitigate risks.
- Creating thoughtful and thorough policies and procedures for new or existing regulations tailored to a firm’s business model.
- Offering ongoing support through complex or operational initiatives to facilitate a successful implementation.
Our goal with any project is to offer suggestions that will enhance the efficiency of operations while maintaining the compliance obligations required of your firm.
TRADEliance's Assistance is Available to Fit Your Needs
TRADEliance Resource Guides provides you with additional resources but allows you the flexibility to do the work yourself.
Looking for a solution quickly? Our Resource Guides may be just what you need. Resource guides are a cost effective solution for firms that need job aids, checklists, educational materials or considerations to help enhance processes.
TRADEliance experience includes (but is not limited to) the following initiatives:
FINRA, SEC, and Federal Reserve Exams and Enforcement
Municipal Continuing Disclosure Initiative (15c2-12)
Order Management Systems
T+2/T+1 Settlement
Trade Confirmation Reviews (10b-10 & MSRB G-15)
Municipal Minimum Denominations (MSRB G-15)
3120 and 206(4)-7 Testing
Best Execution Reviews & Testing (FINRA 5310 & MSRB G-18)
Fair Pricing Reviews & Testing (FINRA 2121 & MSRB G-30)
Reasonableness of Compensation Reviews & Testing (FINRA 2121 & MSRB G-30)
Reg NMS Rule 605 & Rule 606
Exception Report Reviews
Anti-Money Laundering Reviews (FINRA 3310)
Prevailing Market Price/Markup Disclosure (FINRA 2121, MSRB G-30, FINRA 2232 & MSRB G-15)
Code of Ethics Management
TRACE and MSRB Trade Reporting (MSRB G-14 & FINRA 6700)
Municipal Securities Underwriting (MSRB G-11)
Buy and Sell Side Compliance Program Management
15c2-11
Client Data Oversight
Policies and Procedures Creation
Separately Managed Account Programs
Time of Trade Disclosures (MSRB G-47)
Outside Business Activities/Political Contributions/Gifts and Entertainment
FINRA 4210 Covered Agency Transactions
Expert Witness