Engagement
TRADEcognition™ engagements are conducted remotely, by Zoom and in writing, with quick turnaround. Each model has a defined scope, and fee terms are agreed at the outset.
Describe the matter in general terms through the inquiry form.
An initial Zoom consultation defines the question and the materials needed.
Scope, timetable and fee terms are agreed before work begins.
You receive a written assessment you can act on.
A defined review that ends in a written assessment, delivered on an agreed timetable. Typical assessments include a pre-trade review, a strategy review before launch, a data vendor diligence assessment, a Rule 10b5-1 plan review, and a mock surveillance or regulatory examination. The fee reflects the significance of the decision the assessment supports.
Advice billed at $2,500 per hour, for questions that do not call for a fixed-fee assessment. Discounted hourly packages of 5, 10, 15 and 20 hours are available, and the larger the package, the lower the effective hourly rate.
Senior judgment on trading compliance questions as they arise. The retainer includes a set number of Zoom consultations each quarter, written responses within an agreed turnaround time, and an annual remote review of the client’s trading compliance program. It is billed on terms set out in the engagement letter. Retainer clients also have access to Market Contingencies and Emergency Trading support.
Service as a named adviser to a firm’s compliance, risk or trading committee. The role includes a fixed number of committee sessions each year by Zoom, plus written input on escalated questions. The fee is graduated according to the size of the institution.
TRADEcognition™ also accepts engagements from a client’s outside counsel, as co-counsel or as a consultant working under counsel’s direction and privilege.
Describe the matter in general terms, and we will respond to arrange an initial Zoom consultation.
