Business solutions for regulatory challenges

The Titan Difference

When you choose Titan Regulation as your compliance partner, you can expect a clear standard of client focused service. We believe there are several components that define our unique ability to meet your needs.
Hands-on Approach:

We believe that regular examination of the effectiveness of your compliance program is the best way to ensure its success. When trading strategies shift to accommodate dynamic market conditions, policies, procedures and disclosures to the regulators can quickly become inadequate, resulting in an inadvertent failure to comply. By visiting our retained clients quarterly to review compliance programs, we are able to maintain current and accurate response to SEC requirements and avoid costly fines and penalties.

Seniority Guarantee:

Julie Dixon, founder and Managing Principal, has served for many years as an in-house CCO to both large and small hedge funds and broker dealers. Julie and our experienced staff know how to manage compliance within complex trading environments while making compliance a valuable part of the organization. The hands-on industry experience of our team is invaluable to clients. As principal of Titan Regulation, Julie supervises and reviews all consulting activity and administers all retainer compliance programs with the same diligence and supervision she would as your CCO.

A Partner for Your Business:

We recognize that communicating your compliance program to the SEC and executing it correctly is just half of the battle for our clients. Increasingly, hedge fund investors want detailed, topical information on the firm’s compliance program. Titan Regulation personnel frequently interact with the regulators on behalf of clients and regularly participate in due diligence meetings with institutional investors. Our experienced personnel are asked to respond to investor questions triggered by news events or market place developments. For retainer clients we are active participants in the review of marketing materials and due diligence questionnaires ensuring your compliance program is well understood. We also offer onsite training on compliance topics and new requirements coming out of the SEC to keep your personnel up to date on new developments.