Client Services

Aplomb Strategies offers a variety of services to our clients.

ENTERPRISE RISK MANAGEMENT

We assist clients in evaluating global regulatory change in order to implement and to build strategic and stable technology solutions. Our specialized understanding of emerging technology compliance requirements allows us to clarify regulatory and market structure changes into technology business requirements and to structure realistic timelines for implementation in order to provide our clients with a framework for risk management.

CYBERSECURITY GOVERNANCE

Our cybersecurity risk management practice assists our registered client entities and vendor third party technology firms focus on developing a holistic governance structure to address reputational and regulatory risks.  We offer practical regulatory solutions that transform technical jargon into the nomenclature and language of the regulatory environment.

We identify current, pending and future regulatory initiatives to build a cohesive governance framework, identify potential gaps and discover opportunities for your business.  We will help you meet regulatory requirements by leveraging our market structure and trading backgrounds.  Our targeted US regulatory initiative aims to help firms develop a comprehensive governance structure that consistently considers a broad range of regulatory requirements, which include regulation systems compliance and integrity, market access requirements, algorithmic governance, Cybersecurity frameworks and standards, regulatory reporting, new product and system launches.  Aplomb works with firms to reduce costs, enhance customer retention, uncover business opportunities, and implement practical solutions.

REGULATORY FINANCIAL TECHNOLOGY DEVELOPMENT

Our team’s expertise matched with our specialized strategic partnerships uniquely positions Aplomb Strategies to assist our clients in developing emerging technology. This includes regulatory, risk management, supervisory and surveillance control and monitoring tools. We have assisted clients develop system solutions, including but not limited to:

  • Financial Markets
      • Trading Surveillance
      • Communication Surveillance
      • AML monitoring and onboarding tools
      • Regulatory Controls and Monitoring Tools for trading, clearing, operations and risk management
      • Record Retention
      • Order Routing, Best Execution & Transaction Cost Analysis
  • Telecommunications
      • Robocall governance framework
      • AML / onboarding
      • DePIN
      • Fraud: smishing
  • Utilities
      • Hardware alerts / notifications

MARKET STRUCTURE CONTENT

Aplomb Strategies Inc. offers bespoke market structure insights and technology implementation applications.  This includes comment letters, news publications, analysis of trading histories, review of algorithmic trading logic, optimization of trading potential, Request for Proposals (RFPs), and Business Requirement Documentation.

APLOMB SUPPORTS THE ARTS

Aplomb Arts strives to support the artistic community through affiliations with organizations that share our notion of social, educational and community responsibility. We are committed to leveraging our collective financial and technological expertise to assist artistic organizations build fiscally robust platforms.

Aplomb Not for Profit:

  • Enterprise Risk Management
  • Board Restructuring
  • New Funding Tranches
  • Retain Memberships
  • Revitalize Organization’s Image
  • Measure Impact of Current Messaging
  • Program Development
  • Organization Alliances