RISK MANAGEMENT AND COMPLIANCE
SEDA Experts provide consulting and litigation services to clients seeking expertise in various types of risks and exposure, risk management assessment, and regulatory compliance.
Our Experts are world-class authorities with both industry and consulting experience in:
Portfolio risk management
Financial Crimes Risk Management (FCRM)
Bank Secrecy Act (BSA)
Anti-Money Laundering (AML)
ERISA, FINRA, SEC, and other regulatory compliance
SEDA Experts are intricately engaged in various commitments involving regulatory entities such as SEC, FINRA, ERISA, and other self-regulatory entities, bodies, and associations. Our team is continually up to date with new regulatory requirements imposed by the various financial services' regulatory entities, including government entities, to better assist and provide added value to clients while working within consulting or litigation contexts.
Compliance services include assisting client assessments; whether mutual funds, ERISA plans, hedge funds, insurance plans and funds, and regulated fund of funds, to comply with their own local laws (domicile regulatory entities), governing documentation, duties and responsibilities, as well as best market practices.
Our expertise includes, but is not limited to; VaR models and benchmark against best market practices, current regulatory regimens, best market practices for risk measurement and reporting, as well as best risk and pricing practices of hedging positions.
Largest Shareholder in US Major Insurance Company vs. U.S. Government
Claim against the U.S. Government in connection to assistance and buyout process taken over a large insurance company due to its exposure to structured credit products such as CDO, CLOs and RMBS, as well as exposure in connection to its securities lending program. Represented Plaintiffs. Assessment of overall exposure to structure credit products and securities lending program.
Securities and Exchange Commission v. Transamerica Corporation et al.
SEC claim against Transamerica for, According to the SEC’s order, alleging that investors put billions of dollars into mutual funds and strategies using the faulty models developed by investment adviser AEGON USA Investment Management LLC (AUIM) and that when AUIM and TAM learned about the errors, they stopped using the models without telling investors or disclosing the errors.
Top Tier European Bank v. Large Asset Management Company
SEDA Experts assisted Defendants on claim by Investment Bank (Funding Agent) over the termination amount of hybrid CDOs warehouse that failed to close, in connection with hedges placed against the warehouse assets, and their potential mitigation impact in the final warehouse losses claimed by the Investment Bank. SEDA team assessed the overall warehouse portfolio, including all hedging positions in order to calculate the net gain/loss for the warehouse upon termination event.