NextGen Strategic Advisors is a management consulting firm designed to staff our projects with a highly experienced team that has direct Senior Management and C-Suite experience, combined with consulting, project management and implementation expertise. 

The senior team is actively engaged on our projects daily and is personally responsible for the delivery of every project. 

Depth of Relevant SEC & CFTC Experience

NextGen possesses substantial expertise in assisting clients with the implementation of Commodity Futures Trading Commission Swap Dealer (CFTC SD), SEC Security-Based Swap Dealer (SBSD), and OTC Derivatives Data (OTCDD) requirements:

  • Led the implementation of five (5) global CFTC Swap Dealer registrations.
  • Obtained the first SEC registered OTC Derivatives Dealer in 14 years, assisted two (2) clients register SEC OTC Derivatives Dealers
  • Assisted four (4) clients comply with CFTC Swap Dealer Capital Requirements
  • Verified Capital Calculations for CFTC Swap Dealers using FRB Bank Holding Company Capital Rules and SEC Rules
  • Implemented CFTC Swap Dealer Risk Management Program
  • Drafted Combined SD/SBSD Compliance Manual
  • Developed SD/SBSD Legal Entity Strategy for two (2) clients
  • Drafted 5 policies & 6 procedures necessary to comply with the CFTC & SEC capital requirements.

SEC SBSD Experience

  • Working with Cleary Gottlieb, the Cleary/NextGen SBSD Traceability Matrix and Accelerator Tools are being used by 10 of the largest global financial institutions covering 21 SBSDs that have registered.
  • Performed the rule-by-rule Gap Analysis and developed the Implementation Plans for two (2) US-Person SBSDs.