Client Services

Aplomb Strategies offers a variety of services to our clients.


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.


We assist clients in evaluating global regulatory change in order to implement and to build strategic and stable technology solutions. Our specialized understanding of compliance, trading and technology 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.


Our team’s expertise matched with our specialized strategic partnerships uniquely positions Aplomb Strategies to assist our clients in developing regulatory financial technology. This includes regulatory, risk management, supervisory and surveillance control and monitoring tools. We have assisted clients develop trading system solutions across multiple asset classes including:

  • Equities
  • Futures
  • Listed Options
  • OTC Equity and Fixed Income Derivatives


In today’s markets, order routing and best execution decisions can no longer be driven solely by a trader’s discretion. This is true across asset classes.  Order routing decisions are driven by complex rule sets comprising electronic routing tables, regulatory based best execution requirements, and transaction cost analysis. Our unique experience positions Aplomb Strategies to analyze our clients trading history, review algorithmic trading logic, appraise technology platforms and system integration, evaluate transaction costs by market venue and market participant interaction in order to assist our clients optimize their trading potential.


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 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