About Us

Aplomb Strategies Inc. is a market structure consulting firm with regulatory financial technology development capabilities.

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.

Aplomb advises senior management, recommends technology 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).


CURRENT PROJECTS:

  • Annual Broker Dealer CEO Certifications
  • Anti-Money Laundering (AML) / Know Your Customer (KYC)
  • Consolidated Audit Trail (CAT)
  • Cybersecurity Governance
  • Developing Algorithmic Governance Policies & Procedures
  • Effects of “Speedbumps”
  • ETF compliance program end to end review
  • Market Access Requirements
    • SEC 15c3-5
    • CFTC Regulation AT
  • Regulatory Reporting:
    • Electronic Blue Sheet Reporting
    • Large Option Position Reporting (LOPR)
    • Large Trader ID
    • Listed Option Origin Codes
    • OATS
    • CFTC SWAPs Reporting
  • Regulation Systems Compliance & Integrity (Reg SCI)

RECENT ENGAGEMENTS:

  • Cloud usage by broker dealers
  • Consolidated Data Feeds:  SIP / OPRA
  • Counterparty Clearing Risk
  • Derivatives Clearing
  • European Algorithmic Reporting Requirements
  • Market Data Usage Reviews
  • MA Risk Rules
  • Mobile device surveillance and data capture
  • Surveillance Monitoring Tools
  • Tick Size Pilot Program
  • Volcker Rule Implementation

Learn more about our team.