STREET. Market Intelligence built for regulators, given to industry.
N°01Trading & Portfolio Management
Trading & Portfolio Management Violations.
We come from the trading desk — your regulatory trading violations are light work, heavier depending on how centralized your operation is.
We specialize in all the usual suspects, and have an entire platform designed around these more vanilla products. (Equities, Funds (Open End, Closed End, ETF), Fixed Income, Options, Futures, FOREX etc.) The usual suspects, but if you are worried one of your traders is doing off-market trades on your exotic interest-rate derivative portfolio; even if we had your discounts, forwards, vols, along with the surface construction IP you used to value it, we doubt the SEC would bring any action unless its a TCR, your competitors will definitely take advantage of you. But odds of any regulatory action are small. So we don't focus on these types of issues — though we can certainly help in an advisory capacity. Our focus, at least algorithmically when we say Trading and Portfolio Management is are the products & activities you see in regulatory headlines.
The usual suspects
From the trading deck, to the regulatory office, and back again.
All asset managers are reviewed. There are no exceptions.
While there is no universal methodology, there is a method to being a firm reviewed every other year — versus one reviewed every ten.
Street pushes our clients toward the ten-year mark — and away from the two.
Your findings are resolved before any entity even thinks about reviewing your operations.
Street wraps our knowledge of your business in our Privacy First mandate — discretion at every turn, your long-term interests in mind as technology changes.
What you save
We are strategists, systems architects, and quants who became regulators — and now we are back from the other side as valuable partners to asset managers.
We are a data partner, who happens to offer compliance services.
N°01Get a compliance partner
Save the policy manual for when Dunder Mifflin's on site — get a compliance partner.
We'll give you a manual. But a compliance program calibrated to SEC priorities, enforcement sweeps, or reactions to headlines is cycles behind reality.
Value proposition by the numbers
And that's just from SEC exams
potential savings through our Market Intelligence platform.
possible reduction in future exam frequency.
consistent share of SEC-registered firms examined each year.
of those exams produce at least one deficiency depending on the year.
And that's just from SEC exams.
We are the Mock of the Future.
We have access to a wealth of ex-Senior EXAMINERS with more decades of experience than they care to admit. Then we supercharge their capabilities with the STREET proprietary platform. Wrap the results against specific exposures tailored to your firm — now, and in the future. The output is nothing short of pure efficacy: business intelligence beyond pretty presentations.
After the announcement.
When the regulators are in the house and you need an immediate ally. We get it — it's an emergency, life happens. We are the answer; for us, your exam is nothing more than an open-book test. The SEC knows who we are — we are the same household names who won awards while there. We've been on the other side with them, together in the trenches. And just as we did right by our colleagues, we'll do right by your firm to give you the best outcome possible.
Beyond the documentation.
This is not your pre-Financial-Crisis Reg S-P. You can waste a lot of money getting another firm to write you a compliance policy — and that will do nothing for your business other than refer to MSP audit logs. This is the most disingenuous area of the compliance-services space today. After we are done ensuring your infrastructure is set up for Reg S-P today, we can all but guarantee years of gratitude that we saved your firm from the headaches your competitors will have from the snake-oil salesmen of today. Every other compliance firm we are aware of has a separate team of engineers or IT to help you comply with Reg S-P — because the truth is, they don't know, or understand. Our competency is core to our business in this space.
An ounce of foresight.
An ongoing relationship for firms who want a partner who knows what the SEC will pay attention to before they do — the type of foresight every market participant who's been burned by an enforcement referral or regulatory finding wishes they had. At least quarterly intelligence on examination priorities, ad-hoc consultation on market trends, the never-ending popup of new tech frameworks, and the news that stitches them together. One partner across the calendar year who knows your business and your goals — an advisor's advisor.
Priorities timeline, by year.
Pick any two prior fiscal years. FY2026 stays anchored on the right — every cell's change label is computed against the current examination posture.
Tap any two
Theme by theme, against FY2026.
A compliance program calibrated to last year's deficiency letter is cycles behind reality. The retainer is for firms who would rather not be.
In June 2025 the SEC formally withdrew fourteen proposed rules in a single Federal Register notice — including the Safeguarding (custody) Rule and the Predictive Data Analytics Rule. The compliance build CCOs spent the prior years preparing for was retired in one notice.
A compliance program taking on water.
Don't get caught in the tide of this cycle.
Decades of credentials — bundled with decades of data.
Field notes, essays, and occasional arguments from former SEC personnel. The dispatches are periodic; frequency depends on the market, not the calendar.
Most firms read the benefits of an EXAMS 'No Comment' letter as an ode to their business operations. By design, it is not validation — and in the worst case, it is a silent cost.
Our first advice is to take the free option and ask the question.
Email Direct: contact@its4street.com
Learn about our magic
Proactive intelligence, ad-hoc consultation, same partner across the year, all on retainer.
About the implementation
Reg S-P, Marketing Rule, vendor oversight, a current exam. We answer it on a follow-up call. No invoice.
Open the scoping conversation
For Mock Examination, Exam Support conversations. Most engagements start here.
