Digital Assets Products & Market Infrastructure
CONSULTING SERVICES
Independent, defensible support for oversight environments.
Investigations, Compliance & Monitoring
Investigations support, program effectiveness, surveillance and monitoring design.
OVERVIEW
SEDA's Investigations, Compliance & Monitoring practice provides independent support for internal investigations, compliance program reviews, and surveillance system design across financial markets and trading environments.
We work alongside legal counsel, compliance teams, and senior management to provide analytical and subject-matter expertise that makes investigations defensible and compliance programs effective under regulatory scrutiny.
Our practitioners include former regulators, compliance executives, and surveillance system architects with direct experience in FINRA, SEC, and FCA oversight environments.
WHAT WE DELIVER
Internal investigation analytical support
Compliance program effectiveness review
Surveillance system design and gap analysis
Monitoring rule calibration and backtesting
Regulatory examination response support
Transaction monitoring and alert review
Typical deliverables
What to expect from an engagement.
01
Investigation Analytical Report
Independent analysis of trading data, communications, and records in support of an internal investigation or regulatory response.
02
Compliance Program Review
Assessment of compliance program design, resourcing, and effectiveness against regulatory expectations and peer benchmarks.
03
04
Monitoring Rule Calibration Report
Backtesting and calibration analysis of existing monitoring rules, with recommendations for threshold adjustment and new rule development.
Surveillance System Assessment
Gap analysis of surveillance and monitoring capabilities, with prioritized recommendations for system enhancement or replacement.
INVESTIGATION TYPES COVERED
Defensible from day one.
In investigations, how you conduct the work is as important as what you find. SEDA's team has supported dozens of internal investigations across trading misconduct, AML breaches, and regulatory violations — always structured to protect privilege, maintain independence, and produce findings that hold up to regulatory and legal scrutiny.
Trading misconduct and market manipulation
Best execution and client harm
AML and sanctions breaches
Insider trading and information barriers
Conduct risk and culture reviews
Whistleblower response support