Aplomb Strategies is an enterprise risk management focused consultancy designed to help senior management navigate rapidly changing regulatory environments with confidence. We focus on offering RegTech development solutions.
Aplomb Strategies helps 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 works with senior management to recommend technology solutions, develop project plans, implement regulatory strategies and conduct end to end reviews of procedures to support holistic compliance frameworks.
CURRENT PROJECTS
- Annual Broker Dealer CEO Certifications
- Annual SEC registered RIA compliance reviews
- Anti-Money Laundering (AML) / Know Your Customer (KYC) / Politically Exposed Persons (PEP) / Customer Due Diligence (CDD)
- BCP/DR Technology Planning
- Best Execution Reporting
- Corporate Board Due Diligence
- Customer Proprietary Network Information (CPNI) Governance Framework
- Cybersecurity Governance
- Data Privacy / Personally Identifiable Information / System Access
- Developing Algorithmic Governance Policies & Procedures
- Digital Assets / Cryptocurrency Governance Framework
- Incident Response Framework
- Market Access System Controls and Supervisory Requirements
- Off Channel Communications
- Prediction Markets
- Regulatory Reporting
- Record Keeping Frameworks
- Risk Management Frameworks
- Robocall, Smishing, Phishing and Social Engineering Prevention Governance
- SIM SWAP / Port Out Governance Framework
- Trading Supervision and Surveillance Monitoring Tools & Controls
RECENT ENGAGEMENTS
- Cloud usage by broker dealers
- Consolidated Data Feeds: SIP / OPRA
- Counterparty Clearing Risk
- Derivatives Clearing
- ETF compliance program end to end review
- European Algorithmic Reporting Requirements
- Hardware Notifications & Alerts on Networks
- Market Data Usage Reviews
- MA Risk Rules
- Regulation Systems Compliance & Integrity (Reg SCI)
- Risk management and segregation of assets
- Volcker Rule Implementation