Broker-Dealer Regulatory, Governance & Disputes | FTI Consulting

Broker-Dealer Regulatory, Governance and Disputes Services

Forensic & Litigation Consulting

February 4, 2019

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Our broker-dealer team is drawn from top executives at leading global banks and former regulators who collectively bring decades of deep industry experience and specialized skills to help guide clients’ compliance strategy. The team includes lawyers, CPAs, and data scientists, all working together to investigate regulatory compliance and compile expert findings and recommendations that can be presented both internally and externally.

We take an interdisciplinary approach to provide our clients with services by combining the skills of subject matter experts, former regulators, and data scientists to bridge the gap between the line of business, technology, executive stakeholders, lawyers, and regulators.

We provide value to broker-dealers and investment advisors by:

  • Delivering forensic investigative and analytical support to broker dealer and investment advisor clients and their internal and external legal counsel when responding to regulatory inquiries, investigations, and litigation.
  • Developing complex remediation methodologies and executing them utilizing advanced data analytics and manual testing.
  • Implementing enhancements to governance and testing programs for internal audit and compliance executives when faced with regulation changes and program gaps.

Deep Industry Experience. Our broker-dealer team is drawn from top executives at leading global banks and former regulators who collectively bring decades of deep industry experience and specialized skills to help guide clients’ compliance strategy. The team includes lawyers, CPAs, and data scientists, all working together to investigate regulatory compliance and compile expert findings and recommendations that can be presented both internally and externally.


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