We have reviewed trading misconduct as bankers and traders; as consultants; on behalf of regulators; and alongside behavioral scientists. We can provide a unique perspective and hold firms’ hands through any internal review or external action.
FX, Rates, Securities, Derivatives
- Investigations
- Trade Surveillance
- Trading Reviews
- Sales Reviews
- Harms Identification: Front Running, Client Spreads, Order Execution, Barrier Options
- Best Execution Review
- Compliance Reviews
- 1LOD Reviews
- Controls Reviews
- Supervision and Governance Reviews