In a world of rapid market structure change, find opportunities

Aplomb Strategies helps financial institutions capitalize on global market structure changes

Our focus guides our client partners to understand and implement new organizational processes to address global regulatory change, mitigate work flow inefficiencies, launch new products, and implement cost optimization to drive opportunities for growth.

Corporate Governance

Aplomb advises senior management, recommends regulatory technology “RegTech” solutions, develops project plans, implements regulatory strategies and conducts end to end reviews of procedures to support compliance across asset classes (equities, listed options, futures, fx, fixed income and OTC derivatives).

Latest News

August 30, 2018

NY State of Mind for Cybersecurity: Take Three by Chris Kentouris

Finops Report

June 8, 2018

GDPR: Final Call for US Asset Managers by Chris Kentouris

Finops Report

May 21, 2018

Regulation and Governance for RIAs by Joanna Fields

Cyber Investing Summit 2018

April 6, 2018

SEC 12b-1 Fee Amnesty: Costly Ops Work by Chris Kentouris

Finops Report

March 22, 2018

FINRA Rule 4210: Managers Beware of Margin Calls by Chris Kentouris

Finops Report


Upcoming Events

November 15, 2018
SIFMA Listed Options Symposium
Program Participant


July 18-20, 2018
Cyber Security Summit 2018
Program Participant

May 15, 2018
Cyber Investing Summit
Program Participant

April 18, 2018
SIFMA Equity Market Structure Conference
Program Participant

April 19, 2018
2018 STANY Annual Conference and Reception