Expert Witness Consulting Services
Our mission is to provide attorneys with objective, credible, clear, and well-supported analysis in the highly specialized area of trade desk support.
Broker-dealer firms are frequently fined for operational issues or compliance failures pertaining to regulatory requirements for trading.
Examples of how TRADEliance can provide expert guidance include:
- Assessing whether a firm’s processes or procedures for handling orders are reasonable.
- Reviewing whether a firm’s trade execution protocols on the trade desk are designed properly.
- Analyzing whether the oversight or supervision of the activities on the trade desk are being performed properly, are reasonably designed, and are in compliance with the rules.
- Reviewing disclosures related to a trade to ensure they are being properly handled and/or are written in compliance with the rules.
- Ensuring a firm's policies and procedures are reasonably designed.
TRADEliance experts are available to consult with attorneys, assess the strength of legal analysis, review or create reports, and assist with testimony or depositions.
Why TRADEliance?
For cases involving issues occurring along the lifecycle of a trade, details and nuance matter.
TRADEliance has the unique, practical expertise to advise counsel whether the facts in a case constitute adequate protocols.
