SEC Security-Based Swap Dealer Implementation

The SEC has alerted the industry that finalizing the SBSD rules is a “priority” and that it is working to finalize the rules “expeditiously”.  Financial Institutions should be budgeting and planning to start implementations:

  • The SEC is expected to implement the Security-Based Swap Dealer (SBSD) rules in the near-term.
  • There are significant overlaps between the CFTC Swap Dealer and the SBSD regulations.  Leveraging the Swap Dealer implementations will enable financial institutions to implement the requirements cost effectively and efficiently.
  • NextGen Strategic Advisors has identified 2,826 discrete SBSD rules to determine the compliance and implementation requirements.
  • NextGen Strategic Advisors has mapped the SEC SBSD rules to the CFTC Swap Dealer rules and developed a proprietary NextGen SBSD Accelerator Tool  that has been designed based on hands-on experience to assist financial institutions register their SBSDs.

Leveraging Regulatory Investments for Competitive Advantage

  • Developing Business Unit Profitability Analyses & Reporting
  • Developing Customer Profitability Analyses
  • Developing Transaction Profitability Analyses
  • Identifying Benefits of Regulatory Driven “Big Data”
  • Enhancing Legal Entity and Board Risk Management Reporting
  • Improving Profitability / ROE by Determining Optimal Business Mix
  • Optimizing Scarce Resources (RWA, Capital, Balance Sheet, Liquidity, Risk)

Regulatory Implementation Refinement

  • Streamlining Regulatory Compliance Implementations
  • Ensuring Pragmatic Policies & Procedures
  • Implementing Regulatory Reports
  • Streamlining Operations
  • Integrating IT Platforms

Risk Management Services

  • Enhancing Risk Management Data Integrity
  • Improving Risk-Adjusted Profitability Reporting
  • Driving Business Strategy With Risk Management Capabilities
  • Refining Policies & Procedures to Meet Pragmatic Requirements
  • Advising on Risk Related Regulatory Implementations
  • Identifying Risk Management Cost Reduction Opportunities

Finance and Sustainability

  • Strategies for Sustainability
  • Investing for a Sustainable Future
  • Greener Commodity Markets
  • Financial Markets Strategies for NGOs

18f-4 Compliance

NextGen Strategic Advisors Services Offerings

As a boutique consulting firm, NextGen Strategic Advisors’ strategy is to focus on specific practice areas where we have developed deep management consulting and real world management expertise. Our core practice areas include: