Dodd-Frank Health Check -- You may have a plan in place, but are you up to date?
-- Record-keeping and Reporting
-- Capital efficient trading -see "Risk Management with Capital Efficiency"
-- Training of Compliance, Risk and Trading staff
-- Project Management of System Implementations-- see "Business Solutions"
Our team has experience performing major Dodd-Frank readiness and compliance projects. These projects range from simple, on-site, “Dodd-Frank Health Check” projects to full, multi-month Dodd-Frank project management implementations. Our team draws from their years of experience as credit officers, risk officers, exchange officials, and senior executives at major firms to execute these projects. Alliance will also help a firm determine whether they are an Exempt Commercial Entity or a Swap Dealer under the current definitions and how to go forward to maintain that classification. Alliance creates risk and compliance policy programs for firms that need to be compliant with current regulations and provides training to follow these policies.
Alliance provides ongoing Compliance guidelines for firms that are now required to follow new record and reporting protocols. Alliance will assist the customer in determining what records must be retained and how they must be maintained.
Alliance will also assist the Compliance Officer in training compliance staff, risk staff, and traders on newly implemented compliance measures.
The Alliance team has experts in the areas of ISO and RTO risk management and credit compliance and can help the client refine or develop risk management plans, policies, procedures and/or controls that will meet the current ISO/RTO requirements.
Alliance also now offers a daily Alliance Regulatory Update for interested parties. This service is currently complimentary to Alliance customers and prospective customers and is available via subscription to others.
Alliance draws on its years of close interaction with the CFTC, FERC, various PUC’s, ERCOT, and other domestic ISO’s to be able to bring its customers to the regulators that are deciding the course of the markets in which they trade. Alliance also takes a unique approach with the regulators that will help them gather commercial insight into the markets that they regulate. Many of the clients we work with are asked to take part in follow-up conversations and committees that assist the regulators on an on-going basis.
Alliance has strategic relationships with a number of major industry advocacy groups including the National Energy Marketers Association (NEM) where Alliance provides NEM members risk and regulatory advice tailored to their needs as retail marketers.