Broker-DealersBuilt around the full trade lifecycle
cuttone. TAC brings direct operating experience to supervision, trading, reporting, financial controls and the technology that connects them.
Regulation translated into accountable work
Broker-dealers operate under SEC and FINRA requirements that connect supervision, trading, books and records, financial responsibility, reporting and customer protection. CFTC and NFA obligations can add another layer for firms with derivatives or commodity interests.
Our team has worked inside the functions we advise. We help firms connect written policies to daily execution, surveillance, exception management, books and records, financial responsibility and regulatory reporting.
Where control pressure concentrates
- Keeping supervisory procedures aligned with current business activities and control ownership
- Managing CAT, CAIS, TRACE and other reporting workflows with complete audit evidence
- Testing best execution, surveillance and post-trade exception processes
- Coordinating compliance, operations, finance and technology during examinations
Senior expertise connected to execution
Supervisory systems
Design practical WSPs, SOPs, controls, testing routines and escalation paths.
Trading and brokerage
Review execution, routing, clearing, settlement, reconciliation and exposure controls.
Financial responsibility
Support FINOP functions, net capital processes, reserve calculations and financial controls.
Regulatory technology
Improve reporting, surveillance, workflow automation, telemetry and data governance.