Regulatory Structure
Analysis of organization's regulatory structure including staffing needs, potential reorganizations and regulatory merger integration
Surveillances and Insider Trading Investigations
Evaluation of in-house market trading rules, surveillances and investigative techniques, training and systems. We are particularly experienced and effective in designing systems to detect potential insider trading, market manipulation, front running and other types of trading abuses. In addition, significantly adept at investigating these types of trading rule violations and developing sophisticated applications to reveal questionable connections and patterns; and gathering relevant evidence to strengthen and support the prosecution of these types of cases.
Regulatory Audits
Conducting regulatory audits and independent internal investigations of potential federal securities laws or exchange rules violations as well as evaluations of internal procedures and providing appropriate follow up services
Best Practices
Compiling best practices and development of Procedures Manual including training on how to maintain manuals updated
Conducting regulatory audits and independent internal investigations of potential federal securities laws or exchange rules violations as well as evaluations of internal procedures and providing appropriate follow up services
Best Practices
Compiling best practices and development of Procedures Manual including training on how to maintain manuals updated
Expert Witness
Strong expertise with respect to cases involving market manipulation, insider trading and other trading abuses including direct access and order entry issues as well as what constitutes reasonable supervision
Strong expertise with respect to cases involving market manipulation, insider trading and other trading abuses including direct access and order entry issues as well as what constitutes reasonable supervision
Effective Management and Communication
Implementing programs to enhance management effectiveness, organizational communication and team building
Technology
Working with the organization's technology provider or with an independent source to evaluate and customize the use of technology and develop state of the art, cost effective systems
Implementing programs to enhance management effectiveness, organizational communication and team building
Technology
Working with the organization's technology provider or with an independent source to evaluate and customize the use of technology and develop state of the art, cost effective systems
Strategic Planning and Business Continuity Planning
Conducting organization business planning and developing business continuity plans
Speaking Engagements and Training
Experienced in speaking/presentation engagements, addressing groups and educational institutions on ethics, risk management, financial markets regulation and career development. Training professional staff on skills and best practices needed to conduct their regulatory responsibilities. Have trained staff and federal white collar crime agents and are very well versed in reviewing, writing and updating procedures manuals. Have worked domestically and internationally with regulators to develop cooperative arrangements procuring exchanges of regulatory information.
Conducting organization business planning and developing business continuity plans
Speaking Engagements and Training
Experienced in speaking/presentation engagements, addressing groups and educational institutions on ethics, risk management, financial markets regulation and career development. Training professional staff on skills and best practices needed to conduct their regulatory responsibilities. Have trained staff and federal white collar crime agents and are very well versed in reviewing, writing and updating procedures manuals. Have worked domestically and internationally with regulators to develop cooperative arrangements procuring exchanges of regulatory information.
AJM Advisory is an international provider of regulatory consulting services to the securities (financial) trading markets and financial industry participants founded by Aldo J. Martinez, Esq. We serve clients by providing the highest quality client solutions in areas ranging from electronic market trading rules surveillances and investigations to conducting regulatory audits, reorganizations, management and staff training to serving as expert witness and speaking to groups.
