MRB Compliance Consulting is the premier provider of compliance services and solutions to the commodities and derivatives sectors. MRB’s founder and staff possess decades of experience in the actual operation and running of various types of compliance programs. We can operationalize your compliance programs.
Documenting the organizational structure and defining how the entity is going to effectively run is one of the foundational tasks that must be considered. This building block for operational excellence is key to long term success and sustainability.
MRB’s risk assessment output will help the client identify areas that need improvement and assist in the prioritization of resources to remediate the identified areas of need of improvement.
To make your vision into reality cogent and coordinated polices begin the process of operationalizing compliance. Well designed policies need to be concise and focused so that those required to execute on those policies have a well-defined path.
To have an effective compliance function and program an in-depth understanding of the operations of the organizations is a must. MRB’s approach to the provision of services is based on a firm understanding of the activity sets undertaken by the client in the fulfillment of its commercial objectives.
MRB’s deliverables will be high quality output meeting the needs of the internal stakeholders and the expectations of external stakeholders. MRB can make your governance and compliance frameworks effective and measurable.
“Let us see how high we can fly before the sun melts the wax in our wings.” – E. O. Wilson
On June 29, 2020 The United States Supreme Court declined to hear Monex Deposit Company’s Petition for Review seeking to overturn the 9th U.S. Circuit Court of Appeals decision from July of 2019.
In addition to allowing the CFTC’s 2017 enforcement action to move forward, this case will help outline the boundaries of CFTC jurisdiction. When an exempted activity is characterized as a “sham transaction” CFTC regulations may apply.
Overview Laidlaw & Company, a U.K. based independent investment banking and securities brokerage entered into Letter of Acceptance, Waiver and Consent (AWC) with FINRA on
Late last year the Securities and Exchange Commission (SEC) released an opinion affirming a FINRA decision to fine a CCO for “failure to enforce WSP”
Beginning in 2018, DOJ criminally charged several of Defendants’ employees…
In the first of what is thought to be many Foreign Corrupt Practices Act (FCPA) charges to be brought to the energy trading community, a
Overview At issue are three terms, equitable relief, disgorgement, and penalty. If one were to not burden oneself with defining terms and their context, the
Overview On June 17, 2020, despite having found no incidences of a “financial crime” Britain’s Financial Conduct Authority (FCA) fined Commerzbank AG, London Branch £37,805,400