Mon-Fri, Always Available
+1 914-479-2516

Trading Misconduct

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