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Broker 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.

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Best Execution

  • Review of policies, procedures and practices

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

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

  • Routing rules and venue selection review

Compliance

  • Mock SEC Regulatory Routine Examination

  • Confidential information protection and disclosure review

  • 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.

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
     

Trading

  • Custom quantitative analysis of broker order routing algorithms

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

  • Market structure workshops and training across asset classes, including for clients

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