Trade Compliance

SightSpan provides compliance consulting services to address institutional, retail, employee and MiFID (Markets in Financial Instruments Directive) monitoring and surveillance using a holistic and risk-based approach. Our professional team is capable of producing work product in multiple languages and is well positioned to work both remotely or on-site with your team.

Trading Compliance Program Highlights:

• Establish and/or enhance Institutional Surveillance and comprehensive Compliance programs for sales and trading practices and control room surveillance across all business lines and products including scenario reviews and tuning
• Establish and/or enhance Retail Surveillance addressing organization-wide Know Your Customer and Suitability requirements
• Establish and/or enhance Employee Surveillance including conflicts of interest, policies and trading fraud detection programs
• Review, create and analyze transactions rules mapped to meet the organization’s employee trading policies and procedures
• Establish and/or enhance MiFID Surveillance programs to ensure complete compliance with MiFID. This initiative addresses best execution, suitability, client order handling, transaction reporting and conflicts-of-interest

Risk Assessment ~ Auditing ~ Independent Testing ~ Quality Assurance

• Provide Independent Testing and Auditing of AML and Compliance Programs
• Evaluate Existing Risk Models; Enhance and Design New Methods of Evaluating Risk
• Incorporate Best Practice Methodologies Focused on Quality Control and Program Maintenance
• Provide Assessment and Reviews Based on Risk for Private Sector and Government Agencies

International Sanction Programs

• Create Sanctions Program Repository
• Enhance Existing Sanctions Program Design; Incorporate Risk Decision Processes
• Establish/Enhance Filtering and Surveillance Processes

Compliance Training

• Complete Training Programs Focused on Local, Regional and International Regulations
• Customized Training Across Compliance Programs
• Web Based Training programs designed to meet individual company program and risk

Compliance Technology Portfolio Management

• Design Strategic Risk-based Roadmaps for Compliance Technology Programs
• Perform Current State Technology Reviews; Establish and Enhance Reporting Processes
• Provide Vendor Requirements Gathering Processes, Review and Selection, Installation and Product Upgrades

Process Re-engineering and Cost Management

• Provide Process Improvement Expertise: Six Sigma and Lean Processing Strategy Specialists

	SightSpan Trade Compliance Brochure in English.pdf
	SightSpan Trade Compliance Brochure in Spanish.pdf
	SightSpan Trade Compliance Brochure in Portuguese.pdf
	SightSpan Trade Compliance Brochure in Arabic.pdf