Compliance | What We Do

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At FinTrU, we help financial institutions stay compliant with laws and regulations.

Our goal is to prevent regulatory breaches and ensure strong 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.