Fact Witness and Consulting Expert: Part of the legal team formulating, testing, and documenting arguments.
Long-term retainer: Advisor to the Best Execution Committee. Assess and offer improvements to the best execution process, equities execution, and liquidity strategy.
Long-term retainer: Enhance Trading personnel KPIs, incentive program, and Trading Department reporting structure.
Long-term retainer: Engage current TCA provider to enhance OMS trade extract data quality, benchmarking criteria, peer analysis, small/mid-cap trade analytics, and Best Execution Committee reporting.
Lead the implementation of a Supplemental (Outsourced) Trading Desk relationship and establish execution quality analysis framework. Develop a program trading supervisory governance model.
Long-term retainer: Advisor to the Trade Management Oversight Committee (TMOC) and Executive Leadership Team.
Testifying witness and part of the analytical research team. Case settled prior to FINRA Arbitration.
Lead Supplemental (Outsourced) Trading Desk needs assessment, vendor selection process, and contract negotiation.
Long-term retainer: Enhance the Trading Desk structure, policies, and procedures. Design and implement an enhanced liquidity sourcing strategy. Design and implement a Trading Analytics (TCA) framework.
Expert Witness and Fact Witness: Part of the legal team formulating, testing, and documenting arguments.
Long-term retainer: Lead Supplemental (Outsourced) Asia Trading Desk needs assessment, vendor selection process, contract negotiation, implementation, and establish execution quality analysis framework.
Long-term retainer: Deliver global strategic initiative, governance, compliance, and regulatory advice. Active Best Execution Committee participant.
Conduct a trading desk operating model assessment.
Conduct an independent assessment of the current trading operating models across investment products and business lines.
Assist the advisory firm’s client with the strategy and selection of a new trading platform solution and integrated systems.
Benchmark trading strategy to industry best practices: end-to-end trading lifecycle, TCA, commission management/brokerage relations, algorithmic trading, and trading technology.
Assess the adequacy and effectiveness of the controls related to the trading desk, best execution activities, and identify potential areas of improvement.
Build the commission unbundling and brokerage research strategy: research consumption tracking, broker relations/negotiations, trading commissions, and research payments.
Conduct an investment technology assessment.
Guide client segmentation, engagement, product development, and analytics strategy.
Define Outsourced Trading client segmentation & acquisition, trading technology, talent management, economic model, execution quality, and competitor value proposition strategies.
Share insights and perspectives on Equity Trading Platforms: Exchanges, Alternative Trading Systems, Future Disruptors.
Provide insights and perspectives on Outsourced Trading providers: Independent, Prime Brokers, Custodians. Discuss trends in the decision-maker selection process, desired asset class expertise, competitive landscape, and expected growth areas.
Benchmark Investment Technology solutions.
Discuss best practices for running standardized Separately Managed Accounts (SMAs).
Provide Asset Management industry positioning and insights.
Share insights and perspectives on the intersection of the Insurance & Asset Management industries.
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