Adviser Services

Our experts are here to help! From trading and quantitative analysis to legal and compliance, Urvin.Compliance or our partners can help you adopt best, or next, practices. With decades of experience in US equity, options, futures and fixed income markets, we are uniquely positioned to identify opportunities to enhance business practices to improve trading performance and reduce regulatory risks.

Best Execution

  • Review of policies, procedures and practices

  • Ongoing support for Best Execution Committees, trading teams and analytical teams

  • TCA tools and practices review across all asset classes

  • Identification of opportunities to:

    • Improve execution quality and reduce slippage

    • Improve execution partner relationships

    • Reduce regulatory risks

  • Updates on key market and regulatory events that may impact firms' obligations or practices

PLIA Integration

  • Client readiness reviews

  • Checklist of compliance considerations for platform adoption

  • Drafting of, or updating, policies and procedures reflecting platform integration and workflows

  • E-Comms surveillance design / review

  • Training on communications, disclosures, best execution and related considerations
     

Compliance

  • Mock SEC Regulatory Routine Examination:

  • Assist in conducting the annual review required under Rule 206(4)-7 of the Advisers Act to review policies and procedures annually to determine their adequacy and the effectiveness of their implementation.

  • Perform a Regulatory Risk Assessment of your existing compliance systems, including your Policy Manual and written compliance programs, records, testing and monitoring results, audit and regulatory examination records and reports.

Trading

  • Custom quantitative analysis of broker order routing algorithms

  • Aid in the adoption of use of machine learning across multiple functions, including order routing

  • Alpha profiling and timing analysis for coordination with portfolio management

  • Market structure workshops and training across asset classes

Adviser Services Inquiry

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