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Industry ExpertiseFinancial ServicesDriving Completive Value from Regulatory Compliance
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

Accelerating a Large Cybersecurity Program

A large financial services company experienced a string of Distributed Denial of Service (DDoS) attacks and Advanced Persistent Threat (APT) activity, prompting the creation of a Cybersecurity Program.

Tagged in: Cybersecurity, Financial Services
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