Trading compliance counsel
Your Trading the Way Securities Regulators See It
Our Approach
Trading Analysis the Way Regulators Do It
TRADEcognition™ provides legal counsel on the compliance of trading activity for algorithmic, programmed, proprietary and institutional traders, and for the broker-dealers and investment advisers that serve them. Every engagement draws on decades of experience on both sides of securities enforcement.
Regulatory Foresight
Knowing where regulators will look before they look.
Forensic Insight
Examining a trade the way a compliance examiner or an enforcement investigator would, and identifying its vulnerabilities before execution.
Integrity in Every Execution
Providing comfort that the trading at issue is bona fide, economically rational, at market risk, and compliant with applicable securities laws.
Services
Areas of Practice
Confidential Inquiry
Describe the matter in general terms, and we will respond to arrange an initial Zoom consultation.