GCCG is a global boutique, consultancy group which can leverage its considerable compliance expertise to help UK and EU investment banks, wholesale brokers, dealers, hedge funds and investment managers. To review and control for potential regulatory risk arising from compliance violations and/or inadequate supervision, our unique “blend” of work product and automated systems is aimed at designing, developing and implementing effective new or revised policies & procedures, as well as other internal controls. Moreover, to further assist global firms in meeting their local regulatory requirements and industry “best practices”, we can make specific recommendations as to exception reports and related proprietary surveillance and other compliance monitoring systems (both automated & manual).

The advisory and other consultancy services we have on offer cover the following wide range of securities products, business lines and related global institutional/wholesale sales/trading and asset management activities:

  • Annual Compliance (Rule 206(4)-7/38a-1) and Supervisory “Testing & Verification” Reviews (NASD Rules 3012 & FINRA 1330)
  • Code of Ethics/Conduct and Personal Securities Transactions
  • Hedge Fund Compliance
  • SEC Rule 15a-6 “Cross-Border” and UK/EU Wholesale Sales/ Trading of Foreign & U.S. Equity/Fixed Income Securities and Rule 144A QIB Sales
  • Trading Desk Manuals for Equities (OTC/Market Making & NYSE) and Fixed Income (corporates, U.S. Treasuries, Government & Agencies)
  • Research (U.S. and Global Distribution)
  • "Chinese Walls"/Information Barriers
  • AML/CIP Programs and general Patriot Act/BSA compliance
  • Derivatives (Equities and Credit) and ISDA Documentation
  • Foreign Exchange and Repos
  • E-Mail/IM Monitoring Policies and Retention
  • Continuing Education/Training of Compliance Staff

Copyright © GCCG 2005. All rights reserved.