Company Profile

OUR APPROACH IS UNIQUE AND HIGHLY EFFECTIVE

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 have 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.

SEEK
FIRST TO UNDERSTAND
WE RELENTLESSLY FOLLOW REGULATORY CHANGE

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. 

After the financial crisis and the flash crash, financial institutions are increasingly called upon to not only satisfy regulators with respect to their compliance efforts but also potential counterparties, investors and others, as to the efficacy of their plan and the effectiveness of its implementation.  We can serve as an independent evaluator of your programs, ensuring that they meet all of the required criteria.

WE PROVIDE AN INDEPENDENT VIEW OF YOUR COMPLIANCE FOR INVESTORS AND REGULATORS
WE HELP YOU EVALUATE CHANGE

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.

San Francisco | Chicago | New York

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65 E. Wacker Pl STE 610 | Chicago, IL 60601

San Francisco Office

12 Geary St STE 502 | San Francisco, CA 94108

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© 2019 by Titan Regulation & Advisory