Regulation & Advisory
The premier provider of compliance solutions.
San Francisco | Chicago | New York
We provide high quality SEC and CFTC registration services, compliance manuals, and compliance program design and administration.
what WE DO
Our team works with FINRA and exchange regulated broker-dealers from launch to administration, providing high quality registration services, market access reviews, anti-money laundering programs, and many other services
Our team helps CTA/CPO firms with registration, designs and administers compliance programs, and manages examinations for CTA/CPO firms.
For private equity and venture capital firms that must register with the SEC, we provide critically needed registration services, compliance programs, and compliance program support.
Hedge Fund Programs
Private Equity/Venture Capital
Broker Dealer Programs
Our senior management spent more than 20 years in legal and regulatory roles for complex financial services organizations, serving as CCO for hedge fund and broker-dealer, market maker organizations. Titan's experience managing SEC, CFTC, FINRA and exchange regulatory compliance programs gives insight into complex trading strategies and how they intersect with the regulatory environment.
We seek to understand your unique organization, its business strategies, market activities, operational and technology infrastructure, and sales and marketing activities. Each of these pieces of your organization has regulatory touch points. Each factor in to your unique compliance program. Our professionals come from leading financial services organizations and each are uniquely qualified to understand your complex business and potential regulatory pitfalls.
Our team follows the evolving regulatory landscape for you. In the post-financial crisis world, rules and regulations governing financial services firms have evolved so quickly that it is often difficult for firms to keep up. We do this for you and ensure that your compliance program remains current in an ever-shifting regulatory landscape.
We understand that for financial services organizations, the mantra of "evolve or die" is real. We help your firm evaluate changes to your business model and operations to ensure that you consider and understand the business impact of the regulatory landscape.