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Regulatory Compliance
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"It's easy to see, hard to foresee." -Benjamin Franklin
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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"
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. |
