Aplomb Strategies is a financial market structure consultancy offering RegTech development solutions
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
- Annual SEC registered RIA compliance reviews
- Anti-Money Laundering (AML) / Know Your Customer (KYC)
- Best Execution Reporting
- COVID-19 Corporate Board and BCP/DR Technology Planning
- Cybersecurity Governance
- Data Privacy / Personally Identifiable Information
- Developing Algorithmic Governance Policies & Procedures
- Digital Assets
- Market Access System Controls and Supervisory Requirements
- Regulatory Reporting:
- Consolidated Audit Trail (CAT)
- Electronic Blue Sheet Reporting
- Focus Reports (net capital 15c3-1 Reserve Accounts 15c3-3)
- Large Option Position Reporting (LOPR)
- Large Trader ID
- Listed Option Origin Codes
- OATS
- CFTC /SEC SWAPs Reporting
- TRACE
- Supervision and Surveillance Enterprise Risk Management
RECENT ENGAGEMENTS
- Cloud usage by broker dealers
- Consolidated Data Feeds: SIP / OPRA
- Counterparty Clearing Risk
- Derivatives Clearing
- Effects of “Speedbumps”
- ETF compliance program end to end review
- European Algorithmic Reporting Requirements
- Market Data Usage Reviews
- MA Risk Rules
- Mobile device surveillance and data capture
- Regulation Systems Compliance & Integrity (Reg SCI)
- Surveillance Monitoring Tools
- Tick Size Pilot Program
- Volcker Rule Implementation