Regulatory Hedging

Compliance Consultants and Securities Litigation Expert Witnesses

What we do

VEGA Compliance has an experienced team of more than a dozen consultants with a two-fold mission:

1) Regulatory Hedging

2) Expert Witnessesing

Elevate risk management strategies with VEGA’s bespoke Independent Consulting, tailored for both sell-side and buy-side firms.

Hedge regulatory risk like market risks and unlock substantial cost savings.

Validate your remediation proactively, reducing accounting provisions for potential fines. (See Deutsche Bank vs. Scotiabank’s off-channel settlements as a $100MM savings example!)

Leverage our team's expertise to augment or outsource your Compliance/Risk/Finance/Operations functions (including CCOs, CROs, CFOs, COOs).

Expert witness litigation support for plaintiffs and defendants across the financial industry. Specifically:

Market Manipulation Customer Protection Conflicts of Interest

Insider Trading Complex Derivatives KYC / AML / Sanctions

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.

    John Sperduto - AllianceBernstein

    Source

  • 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.

    Joe Loftus - Lehman Brothers / Barclays

    Source

  • I have and known and worked with Michael for over 15 years and he is truly a subject matter expert in all things compliance. Michael is professional, hard-working and goal driven.

    Timothy Smith - Jefferies

    Source

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