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SERVICES
DRAFTING
Get help both improving current policies and procedures or drafting new ones from scratch
STRATEGY
Develop a compliance strategy targeted to the needs of your firm, from the most specialized boutique to the largest investment bank
EDUCATION
Learn about industry best practices and how new regulations are being interpreted by both firms and regulators
ASSESSMENT
A targeted assessment of your current compliance program that identifies and corrects weaknesses before they become a regulatory issue
EXAM PREP
A mock NFA exam to help key stakeholders prepare for the exam process - know what to expect before it happens.
REMEDIATION
Post-exam follow up to help formulate and execute a practical, cost effective remediation plan to address any issues found
ABOUT
HK Consulting Solutions is a New York based compliance consultant specializing in OTC Derivatives products, exchange traded futures, commodities, Dodd-Frank regulations, and regulatory examinations administered by the National Futures Association.
We take a multifaceted, customized approach to each engagement and are committed to fulfilling the unique needs of every client we serve to the highest possible standard.
Learn more about our process here.
INSIGHTS
KYC
KYC and Client Eligibility
Verifying client trade eligibility is integral to a solid compliance program. Unfortunately, many firms do not devote sufficient resources to this critical area. Contact us to learn more about how neglecting KYC requirements can lead to serious regulatory and reputational consequences, and what you can do to avoid them.
Disaster Preparedness
Business Continuity Plans
From cyber attacks to natural disasters, threats to business operations and data integrity are abundant. While some of these events can be avoided, others cannot. A strong BCP is essential to minimizing damage and downtime and maximizing your ability to return to business as usual. Contact us today to learn more about the importance of having a BCP plan and what factors to consider when drafting it.
Technology
Real Time Reporting
Recent regulations requiring real time reporting of trades to SDRs have created challenges across the entire industry, for small and large firms alike. Contact us to learn what regulators expect to see when they examine your firm and how to ensure you are reporting trade data as quickly and efficiently as possible.
CONTACT
80 Broad Street (5th Fl)
New York, NY 10004
Phone
(929) 281-3361