Consulting for Financial Services and Capital Markets

McDonnell & Associates

Consulting for Financial Services and Capital Markets

Compliance Consulting

Copyright © McDonnell & Associates

McDonnell & Associates has been providing compliance consulting services to the capital markets industry for over 5 years.  With a diverse and rich background in running trading companies, managing an FCM and being a senior executive at the Exchange level, we have unique qualifications and experience in the actual running of trading entities.  This experience helps us mold our compliance consulting and advice to assist firms in being successful and growing their business, while staying within the regulatory framework. 

In the last 5 years, compliance costs have been the largest growing expense for all firms.  This expense, coupled with challenging markets and razor thin margins, makes it even more important to have a partner in your compliance culture whose focus is the practical approach to regulatory compliance while supporting the business needs of the entity.

We create a custom compliance program to the specific needs of the client, freeing up management and internal staff from worrying about what they have forgotten to do.  We can assist new firms in setting up their registration and compliance needs.  We also provide ongoing compliance support in quarterly reports, testing, due diligence, reviewing marketing materials, mock audits and other compliance management.

         p:+1.3122966029                                                                                        e: mary@mcdonnell-associates.com