Welcome to MRB Compliance Consulting LLC

MRB Compliance Consulting LLC (MRB) 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.

Governance Framework

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.

Risk Assessments

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.

Compliance Programs

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.

Our Approach

What do we mean by “Operationalizing Compliance” ™?

Operationalize [ˌäpəˈrāSHənlˌīz] verb, – put into operation or use.
Compliance [kəmˈplīəns] noun, – the state or fact of according with or meeting rules or standards.

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.

Our Philosophy

What we offer

Policy Development

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Investigations Services

MRB staff have experience in conducting rigorous investigations that have withstood review by the FERC, the CFTC and the DoJ. When thoroughness and discretion are required, MRB is your go to resource for this service.

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Training

Training is a hallmark of good governance and employee development. Effective training is beneficial to both the employee and the employer. Effective training will increase productivity while reducing organizational risk.

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Secondment

Quite often a client has the need for compliance support on a limited basis due to exchange or regulatory inquiries and information or internal projects. MRB can assist the client by supplying experienced staff to meet those tasks in a timely manner.

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Recent Case Study

Monex Deposit Company versus the Commodity Futures Trading Commission

Case No. 1:17-cv-06416

“ 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.

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