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.
On January 23, 2020 the Office of the Comptroller of the Currency (OCC) announced settlements with fiver former executives of Wells Fargo bank. More than
The heart of FINRA’s December 23, 2019 allegations are that Credit Suisse Securities (USA) LLC (CSS) “did not implement reasonably designed surveillances and supervisory procedures
On December 20, 2019 the Commodity Futures Trading Commission (CFTC) charged French national Christophe Rivoire with manipulation of U.S. dollar interest rate basis swaps during
On December 16, 2019 the Securities and Exchange Commission (SEC) issued a Cease and Desist Order against Respondent Tim Leissner the former senior executive of
In the beginning… The Foreign Corrupt Practices Act (FCPA) was enacted in 1977, applies to companies listed on U.S. stock exchanges and private companies organized