About Vega Compliance Consulting
VEGA Compliance Consultants specialize in financial controls for projects, interim management, and independent monitorships and remediation.
Regulatory Hedging
We offer comprehensive solutions to hedge regulatory and operational risks on both the sell-side and buy-side.
You need regulatory hedging in a world where regulators’ penalties are extremely volatile, they don’t trust internal lines-of-defense (Compliance, Internal Audit, etc.), and your external litigation counsel is busy fighting for you. The subject-matter-experts at VEGA provide early, independent validation of your remediation work that:
- builds more goodwill than internal efforts alone
- reduces required provisioning for fines in your budget
- aligns the firm with the regulators who make the final penalty determination
Expert Witness
Leveraging our expertise, we also serve as independent, expert witnesses in securities litigation cases for plaintiffs and defense.
Our boutique, unconflicted team brings a wealth of expertise garnered from esteemed institutions such as Goldman Sachs, Lehman Brothers, BNP Paribas, and more.
Our team has established strategic partnerships with well-known law firms, cyber-security experts, surveillance and GRC service providers, and others.
Mike Evans
As an entrepreneur, risk manager, and global compliance executive, I've transformed the control infrastructure of global financial institutions. This includes being BNP Paribas’ Global Head of Financial Markets Compliance in Paris and London, the Chief Compliance Officer of its swap dealer, NY institutional bank branch, three broker-dealers and two FCMs.
I've led international teams and collaborated with regulators in Singapore, Korea, Hong Kong, Tokyo, London, and Paris, as Responsable de la Conformité pour les Services d'Investissement (RCSI) - Autorité des Marchés Financiers.
My technical proficiency and subject-matter-expertise spans equity derivatives, structured products, and capital market investments, with a unique focus on remediation and transformation in both technical and cultural realms.
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Expert Team Members
Eric J.
Joe L.
Greg O.
Nancy C.
Chris K.
Michael R.
David C.
Kate W.
Experience and subject matter expertise to help financial firms increase efficiency and reduce compliance risks.
In an era of rapidly evolving financial regulations, Vega Compliance is your trusted partner in ensuring your firm stays ahead of the compliance curve.
Vega Compliance is a trusted leader in expert witness and litigation support, specializing in Compliance, Supervision, and Controls within Banking, Securities, and Commodities litigation.
Client Testimonials
"I've worked with Mike Evans. His Compliance/Risk Supervision was key to the success of the Equity Synthetics desk, especially during its rapid expansion."
"Mike is one of the most meticulous compliance officers I have partnered with through the years. And “partner” is the correct way to view compliance for traders & managers. Risk prevention (and recognizing it like monetary risk) is fundamental."
Ready for a Free Consultation ?
Get in touch with our experts today to learn how our compliance consulting services can help your firm mitigate risks, enhance compliance frameworks, and achieve long-term success.
Email:
info@vegacompliance.com
Call:
+1 929 456 3680