Trade Order and Execution Compliance Solutions
As firms plan their strategies to maximize trading opportunities and meet competitive pressures through direct market access, algorithmic trading models and dark pools, they must at the same time manage the significant impact of regulatory changes on their business process, compliance procedures and technology systems. Jordan & Jordan has a broad view and deep understanding of the complex issues brought on by an evolving market structure in a rigorous regulatory environment. We have been assisting clients with enhancements to fulfill compliance obligations with risk control and trade monitoring as well as meeting customer expectations for performance with recommendations for low-latency platforms, streamlined order handling processes and cost effective client service operations.
Jordan & Jordan Solutions and Services Address SEC and FINRA Mandates
- Rule 15c3-5 Compliance and Assessment Service
- Trade Reporting Process Assessment
- Regulation NMS Due Diligence Services
- Execution Analytics and Compliance Solution (ECS)
Develop Cost Efficient, Compliant Order Management and Routing Strategies
Jordan & Jordan’s recommendations for changes in workflow, systems, policies and procedures consider business and compliance needs, system requirements, data management practices, and organizational structure. Our Operations and Technology Assessment program results in practical plans for improvement in any aspect of the trade process.
For additional information on Jordan & Jordan's Trade Order and Execution Compliance Solutions, contact Michael O'Conor at 212-655-2953 or Martin Bentsen.