1-866-531-7577
The Alliance Risk Group
  • Home
  • About Us
    • About Our Company
    • Managing Directors >
      • John Flory
      • Mike Prokop
    • Special Projects >
      • Morgan Davies
    • Our Associates >
      • Karen Beachy
      • Bill Fraser
      • Phil Gootee
      • Matthew Hunter
      • Brad Ledbetter
      • Joe Limone
      • Dan Lobue
      • Tim Metts
      • Patrick Murray
      • Salvatore Penna
      • Terry Sando
      • Steve Sherman
      • Dariush Shirmohammadi
      • Stephen Thomas
    • Strategic Service Partners >
      • Aravo
      • mnemonic
  • Our Services
    • Company Advisory
    • Integrated Risk Management
    • Capital Efficiency through Enhanced Risk Management
    • Regulatory and Internal Compliance
    • Smart, Clean, Resilient Grid
  • In the News
  • Contact Us


Regulatory Compliance 

Picture
Picture
Picture
Picture
Picture


Picture

"It's easy to see, hard to foresee."

 "When you're finished changing,

                                you're finished."
                   -Benjamin Franklin

Dodd-Frank Health Check -- You may have a plan in place, but are you up to date?    

  • Regulatory Compliance Implementation:  
             -- Trading, Risk and Compliance Policies and Procedures
            -- Record-keeping and Reporting
            -- Capital efficient trading -see "Risk Management with Capital Efficiency"
            -- Training of Compliance, Risk and Trading staff
            -- Project Management of System Implementatio
ns-- see "Business Solutions"
  •  ISO/RTO Risk Management and Participation requirements
  •  Regulatory Advocacy
  • Strategic Relationships with several major industry associations

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.
​
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 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.

About Us

About our Company
Managing Directors

Associates
​Strategic Service Partners

Our Services

Company Advisory
​Integrated Risk Management
Capital Efficiency through Enhanced Risk Management
Regulatory & Internal Compliance
​Smart, Clean, Resilient Grid

      Contact Us



Home
Picture
The Alliance Risk Group, LLC, Copyright © 2020
 All Rights Reserved







Website by Eagleswings Art Productions