Market Access Advisors

On the back of nearly 20 years of pragmatic operational experience, Market Access Advisors represents clients with a vested interest in traversing through the most opaque and ill-defined regulatory mandates of the brokerage industry. In particular, we specialize in (1) all matters concerning the market access rule (SEC Rule 15c3-5) – including risk infrastructure, pre-trade systems and post-trade surveillance,(2) matters concerning digital asset securities within the currently permissive and evolving regulatory framework and (3) clearing operations. Our clients range from clearing and introducing broker-dealers, Alternative Trading Systems (ATSs) and proprietary trading groups to risk SaaS providers, surveillance system vendors, law firms and consultants in need of definitive practical guidance and/or work product engagements. Our assignments span from conceptual advisements to a seed of an idea, to extensively written reports or application of quantitative analytics, to audits, improvements or overhauls of operational or supervisory structures of trade surveillance or custodial processes. Taking an active, hands-on approach to our engagements, we are able to customize our support to your individual needs and circumstances, bringing our extensive experience, professionalism and unique perspective into every engagement.