GCCG's in-depth knowledge of how the global securities, asset management and hedge fund industries really work, coupled with our experience of effectively managing the compliance function, will enable us to add significant value to both U.S. domestic and international firms engaged in cross-border corporate finance, sales, trading, research distribution, asset & related activities. Further, by working closely with senior Compliance Officers, business staff and senior management to discern the firm’s culture, we are able to determine how best to design and establish new/revised compliance and supervisory policies & procedures, as well as other related internal controls. In the end, we will help assure that applicable regulatory requirements are being met- without unnecessarily burdening affected business lines.
The financial industry, both domestically and globally, face the spectre of a much more stringent regulatory environment, which, when added to increasingly demanding institutional/wholesale clients, media and legislatures, compel firms to control even more than before for reputational risk. If this conclusion even comes close to becoming reality in the future, then there is a real need for a highly credentialed consultancy team like GCCG, bringing with it significant on-point, practical experience, to objectively produce work which both senior management and post-Enron Boards of Directors can embrace/rely on when the firm seeks to meet the attestation requirements per the “testing & verification” mandates under NASD Rule 3012/FINRA Rule 1330 (and the strikingly similar MiFID).
Indeed, our extensive senior compliance, in-house legal and regulatory backgrounds not only allow GCCG to provide comprehensive support of the compliance function. We also have on offer advice and guidance as to a wide variety of global and local industry developments/trends, thereby enabling clients to continually stay “one step ahead” of potential regulatory risk exposure.
In addition to the successful in-house work that our consultants have performed for the referenced global brokerages, banks and money managers, GCCG has successfully completed these kind of consultancy engagements for, among others, ING Clarion Partners, ABN-AMRO, HVB/Unicredit, DVB Bank, Calyon, Abbey National, ITG and Daiwa.