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.
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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:
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- 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.