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Leverage Trexin’s industry experts in financial service, operations, technology and compliance monitoring to assist you in staying ahead of the regulatory curve. Advance understanding of the business implications of regulatory change allows you to participate in decision forums, manage costs and avoid reactive decision making.
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Help me develop a proactive stance regarding regulatory changes that impact my businesses
Driving competitive value from regulatory compliance requires up to date market information and research on proposed regulatory changes and eventual implementation strategies. Understanding the regulatory process covering your business and tracking the changes that will impact your business can be complex and very time consuming. We can help you manage your regulatory impact through initial readiness assessments; specific business, operations and technical impact assessments along with data capture, reporting and analytics.
Upcoming industry areas of focus include:
- Trade + 2 Settlement
- SEC Rule 613 Consolidated Audit Trail (CAT)
- Department of Labor Fiduciary Investment Advice
- Business Continuity for Registered Investment Companies
Areas of Expertise:
- Audit trail
- Audits
- Broker-dealers
- Capital markets
- Disclosure
- Financial reporting
- Financial technology
- Oversight
- SEC
- Securities regulation
- FINRA
- DoL
- Fiduciary
- Trade Settlement
- BCP
- NICA
