We help our derivatives clients remain compliant in a time of escalating, ever-changing regulation
Alaric's Derivatives Compliance team, led by Christopher Lewis, offers a compliance service for institutions that are active in privately negotiated OTC and central clearing system derivatives. These essential and timely services help clients remain competitive and compliant in a time of escalating, ever-changing regulation.
Our services include:
- Compliance reviews of derivatives holdings, including the development of internal compliance policies and procedures for oversight and monitoring of ISDA agreements
- Advising clients on SEC, CFTC and self-regulatory organizations, including evaluating regulatory and compliance matters, and advising on inspection and enforcement matters and the impact of new derivatives regulations issued by the SEC, the CFTC, the Federal Reserve and other federal agencies, state insurance regulators, and self-regulatory organizations
- Consulting with clients on valuation issues relating to determining mark-to-market and termination payment calculations in illiquid or otherwise troubled markets, including in the context of distressed structured swaps
- Reviewing and developing best practices for derivatives activity
- Assisting clients in resolving disputes with their counterparties
In today's markets, clients are looking ever more closely at their potential derivatives exposure. Alaric's sophisticated derivatives professionals can assess existing derivatives exposure and implement effective compliance solutions both in the current environment and as new regulations take effect.
