Compliance | What We Do

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FinTrU provides effective compliance solutions to financial institutions, ensuring compliance with laws and regulations.

We implement robust controls to prevent and detect regulatory breaches, while continually assessing the effectiveness of compliance frameworks, governance and control structures.

Surveillance
- Trade Surveillance
- Electronic Communications Surveillance
- Enhanced/Proactive Surveillance
- New System Testing Support
- Gap Analysis and Remediation
- Alert Monitoring
Compliance Assurance and Risk Assessments
- Compliance Assurance
- Compliance Risk Assessments
- Compliance Frameworks Testing
- Control Documents, Policies and Procedures Reviews
- Gap Analysis and Reporting
- Issue Tracking to Resolution
Information Barriers
- Misuse of Inside Information Detection and Prevention
- Restricted and Watch List Management
- Conflicts of Interest Reviews
- Research Clearance
- Chaperoning Communications
- Wall Crossing Solutions
Regulatory Implementation
- Regulatory Change Management Project Support Solutions
- Remediation Plan Design Solutions including Control Mapping, Gap Analysis, Review of Existing Documentation, Processes, Policies and Procedures
- Execution of Remediation Action Plans
- Regulatory Implementation Training Campaign Support

Patrick Meighan

Head of Regulatory Compliance

Patrick has oversight of the Regulatory Compliance Product offerings including; Trade and Electronic Communications Surveillance, Control Room Compliance and industry benchmarking.