CONTROLS - ARMOR PLATING (Cont.)

While many institutions may feel that these functions are adequately performed and evaluated in-house, all too often internal staff simply lack the requisite experience to expose procedural deficiencies, or to see through complicated, front office schemes designed to disguise or misdirect such efforts. ​

TRCI's seasoned traders and investigators probe institutional control environs to uncover any existing flaws or oversights, conditions that have too often created financial havoc in trading rooms throughout the world.

TRCI has trained regulators, provided consulting and investigative services to providers and users of financial services, and conducted litigation support activities, both in and out of court, for organizations seeking legal remedies for trading issues. TRCI's experienced staff has established and managed institutional trading operations, traded in the trading room and testified as expert witnesses. The company is uniquely qualified to provide an intensive internal control review of professional trading organizations to determine whether weaknesses within the organization's policies, procedures and controls are ripe for exploitation.

 

TRCI's "Armor Plating Controls" engagements deliver specific recommendations and steps to implementation, enabling management to create the safest possible control environment available today, consistent with the Basle Accord's recommendations to guard against fraud and trader abuse. 

  • Training
  • Consulting
  • Litigation Support/ Expert Witness
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