With significant commercial & technical experience, our team deploys finance, risk and operations solutions.
While we have a Commodity Industry Governance & Risk in our DNA, our expertise represents a far broader reach, with a strong focus on the practicalities of implementation & co-ordination across function to ensure the client mandate is fully supported.
Advised senior management and assisted delivering several large programs within the Risk department. CE supported regulatory change (Regulatory IM and Swap Dealer registration), Risk Engine vendor selection & migration and control enhancement programs. In addition to playing a critical role in program delivery, CE advised and delivered robust policies and procedures documentation.
Strategic ETRM system roll out. US Power & Natural Gas with other asset classes to follow. CE managed the system selection exercise, and is leading project delivery, technical development, and business process analysis.
Development & delivery of Compliance policies and procedures, in addition to
providing Compliance management support for business as usual activities.
Assisted a leading global Commodities franchise in BAU product control support, project delivery and business control analysis as the client embarked on significant finance and risk system change.
Enhancing your delivery efforts with our expertise in both physical and financial markets, Commodity Execution
provides exceptional support tailored to your specific business activities. No matter the underlying mix, our highly
skilled team ensures comprehensive assistance to reinforce your success.
COMPREHENSIVE GRC SOLUTIONS & RISK MANAGEMENT:
▪ Base Metals – LME trading and operations, warehousing and physicals.
▪ Crude Oil & Refined Products – Global internationally traded crude and refined products including NGLs and Olefins, physical activities.
▪ US Power & Gas – Trading, including Heat Rate options, synthetic tolling, wind, transportation and storage.
▪ European Power & Gas – UK power and gas trading, European power and gas trading including transmission (IFA and BritNed), transportation, storage and swing.
▪ Base Metals – LME trading and operations, warehousing and physicals.
▪ Crude Oil & Refined Products – Global internationally traded crude and refined products including NGLs and Olefins, physical activities.
▪ European Power & Gas – UK power and gas trading, European power and gas trading including transmission (IFA and BritNed), transportation, storage and swing.
▪ US Power & Gas – Trading, including Heat Rate options, synthetic tolling, wind, transportation and storage.
▪ VaR, SVaR and capital measures.
▪ Risk frameworks for non-VaR risk limits based on budgets, risk appetite and underlying market liquidity.
▪ Design and development of stress testing to capture primary risk factors (price, volatility) and secondary stresses to identify and quantify risk associated with non-standard factors such as physical risk, correlation etc.
▪ Regulatory interaction including PRA, Federal Reserve, NY State Banking, CFTC, FERC, SEC, FINRA and MAS.
▪ Regulatory environment impacts including MiFID II, Dodd Frank & Volcker.
▪ System analysis, design, and implementation.
▪ End-to-end new market roll-out project management.
▪ Commodity Trade Risk Management (CTRM) project
management and platform development.
▪ Trader tools and decision support systems development.
▪ Flexible project management methodology (SDLC, SDLC Lite,Agile) based on client requirements.
▪ Robust stakeholder communication throughout project lifetime.
▪ VaR, SVaR and capital measures.
▪ Risk frameworks for non-VaR risk limits based on budgets, risk appetite and underlying market liquidity.
▪ Design and development of stress testing to capture primary risk factors (price, volatility) and secondary stresses to identify and quantify risk associated with non-standard factors such as physical risk, correlation etc.
▪ Regulatory interaction including PRA, Federal Reserve, NY State Banking, CFTC, FERC, SEC, FINRA and MAS.
▪ Regulatory environment impacts including MiFID II, Dodd Frank & Volcker.
▪ System analysis, design, and implementation.
▪ End-to-end new market roll-out project management.
▪ Commodity Trade Risk Management (CTRM) project
management and platform development.
▪ Trader tools and decision support systems development.
▪ Flexible project management methodology (SDLC, SDLC Lite,Agile) based on client requirements.
▪ Robust stakeholder communication throughout project lifetime.
Our commitment is to total client support through informed thinking, clear communication & rigorous execution.
Whatever the nature of your inquiry, we are
happy to hear from you.
Commodity Execution | Copyright 2023 Commodity Execution, LLC. All rights reserved
Conducted a two-phase Design Effectiveness Review for a Commodity Futures Trading Commission (“CFTC”) registered non-U.S Swap Dealer.
Project Oversight
The first phase focused on CFTC regulations and National Futures Association (“NFA”) rules that are relevant to CFTC-regulated Swap Dealer’s activities. The second phase focused on non-US derivatives rules and applicable extra-territorial CFTC rules.
Both phases of the Design Effective Review included:
• Assessment of the comprehensiveness, sufficiency and effectiveness of the client’s control environment.
• Identification of key elements of regulatory requirements or individual standards not being met; and
• Incorporating a better understanding of leading industry practices.
Approach
• Assessed client’s Swap Dealer key controls, including policies and procedures, operational procedures, staff training and resources against applicable rules and regulations; and
• Conducted interviews with key staff in both business and functional roles responsible for the Swap Dealer business and operations.
Key Impacts Achieved
• Identification of gaps in the Swap Dealer’s controls and overall Compliance program with remediation recommendations;
• Understanding industry trends around Swap Dealer high profile obligations focused on Governance, Business Conduct Rules, Settlements and Clearing, Transactions Reporting and Recordkeeping; and
• Better appreciation of the key aspects of Swap Dealer Compliance conducted
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