Risk Management

How do you manage risk in a complex, digital world?

New regulations. Information security concerns. We help client firms meet these challenges with the latest information on regulations, rulings, and business risk factors.

Added Perspective for Protecting Your Business

First Clearing offers on-going access to compliance and regulatory experts, and a comprehensive suite of risk management and compliance support solutions:

Risk and Compliance Consulting – Perspective on regulatory compliance and sales supervision, dedicated support for AML compliance, and service around escalated issues such as fraud attempts, operational risk, and credit policy matters.

College of Risk
– A unique program for senior managers and key control principals to help them understand and prepare for the wide range of threats their businesses face today.

First Clearing Publications
– The Regulatory Update newsletter and periodic News Briefs keep firms up to speed on regulatory, compliance and operational matters as well as information security events in the financial sector.

Compliance Forums– Events that examine recent and pending regulatory changes, topics affecting the industry, and the impacts of industry and regulatory trends on investors, broker-dealers and the financial markets.

Topical Symposiums
– Events focused on important industry topics such as elder fraud and financial abuse.

– Our proprietary supervisory and surveillance system is a flexible management tool that helps firms identify critical issues and flag them for further review and follow-up.

– A premier institutional AML system that provides robust analytics to help protect client firms against money laundering.

Review and Release
– Powered by a robust rules engine, this system automatically reviews orders in equities, options and mutual funds before delivery for execution.

– Daily information from BlueSky Data Corporation to help firms avoid fines, rescissions, and cease and desist orders.