Each firm has different needs. TRADEliance has a solution to cater to yours.
Our consultants get it - they've dealt with the same issues your firms are facing. Partnering with TRADEliance's consultants can provide you with the knowledgeable resource you need.
Finally, your firm doesn't have to decide which fire to put out first.
Our Custom Projects are ideal for firms that need assistance with one-off projects, regardless of size, for both existing and new regulation.
Custom Projects allow clients to help dictate a fully customized project plan that fits their needs.
Examples of Custom Projects include:
- Creating case studies for challenging rules or scenarios
- Testing current policies or processes
- Creating new policies or processes
- Implementing new policies or processes
- Educating and training
- Creating checklists, guides, or resources
- Completing Trade Confirmation reviews
Our Resource Guides allow firms to leverage TRADEliance's knowledge and expertise without the need for a full engagement. These can be helpful tools for firms to use to develop staff or processes.
Resource guides are a cost effective solution for firms that need job aides, checklists, educational materials or considerations to help enhance processes.
Resource Guides cover topics including (but not limited to):
- Policy Creation and Testing
- Fair Pricing Testing
- Best Execution Testing
- Reasonableness of Compensation Testing
- TRACE & MSRB Trade Reporting Reference Guides
- Client Data Oversight
Sometimes it’s just not in the budget to hire additional employees – but that doesn’t mean you don’t need more help.
TRADEliance Collaborative Solutions provides you with an accessible, knowledgeable partner that can provide you with timely guidance. This retainer-based model allows you to choose the level of support you need within your budget.
Now, you can have a partner to work with, providing you with the resources to make more informed decisions and get work done more efficiently.
TRADEliance experience includes (but is not limited to) the following initiatives:
FINRA, SEC, and Federal Reserve Exams and Enforcement
Municipal Continuing Disclosure Initiative (15c2-12)
Order Management Systems
Trade Confirmation Reviews (10b-10 & MSRB G-15)
Municipal Minimum Denominations (MSRB G-15)
3120 and 206(4)-7 Testing
Best Execution Reviews & Testing (FINRA 5310 & MSRB G-18)
Fair Pricing Reviews & Testing (FINRA 2121 & MSRB G-30)
Reasonableness of Compensation Reviews & Testing (FINRA 2121 & MSRB G-30)
Reg NMS Rule 605 & Rule 606
Exception Report Reviews
Prevailing Market Price/Markup Disclosure (FINRA 2121, MSRB G-30, FINRA 2232 & MSRB G-15)
Code of Ethics Management
TRACE and MSRB Trade Reporting (MSRB G-14 & FINRA 6700)
Municipal Securities Underwriting (MSRB G-11)
Buy and Sell Side Compliance Program Management
Client Data Oversight
Policies and Procedures Creation
Separately Managed Account Programs
Time of Trade Disclosures (MSRB G-47)
Outside Business Activities/Political Contributions/Gifts and Entertainment
FINRA 4210 Covered Agency Transactions