image
SERVICES
Expert Witness/Forensic Analysis/Litigation Support/Strategy

 Why the Tilkin Group?

  • Expert in both compliance/sales supervision/sales practice and risk/compliance software systems and utilization
  • 20 years in Senior Management in Financial Services
  • Founder and CEO of Protegent, Inc.
  • Senior Managing Director - SunGard Enterprise Solutions
  • Expert Witness - Forensics - Testimony:
  • Initial Case Evaluation
  • Pre-hearing Case Evaluation
  • Hearing Consultation
  • Expert Testimony
  • Special Reports
  • Forensic Accounting
  • Expert in both compliance/sales supervision/sales practice and risk/compliance software systems and utilization

We are prepared to offer you securities expert witness support and testimony to you and your clients. Our resume is only the beginning. We have a unique background and understanding of both financial services and financial services software and systems.  We know what technology tools are available and how they should be deployed and utilized. Our strength rests on our ability to understand the process that exists within every broker's office, trading desk, branch office and headquarters of every financial service firm. Whether the discussion focuses on the esoteric fixed income market, equities, funds, annuities, insurance, alternative investments, private equity or matters of supervision, reporting or suitability the expertise is available to support your efforts.

  • Unsuitability

  • Inappropriate Asset Allocation/Investment Objective

  • Breach of Fiduciary Responsibility

  • Churning

  • Unauthorized Trading

  • Misrepresentations/Omissions

  • Overconcentration

  • Fraud or Theft

  • Failure to Supervise

  • Employment Issues

 

  • Compliance Software Efficacy Audit:

State and Federal securities regulators have become increasingly aware of both the range and capabilities of compliance software systems.  It is not unexpected that their expectations of firms compliance operations and process as increased to keep pace with the added opportunity for automation. 

Implementing a compliance software system is one thing, but, knowing whether the system is used to its full capacity, used appropriately by all designated users, maintains rules that are both up to date and effective, managing false positives and limiting "noise" is where the rubber meets the road.  Our compliance software efficacy audit provides and independent review and analysis that will assure you are getting the best results from your system and protecting your firm to the highest possible degree.

  • Compliance Software and Process Efficacy Audit
  • Expert Witness, Testimony and Forensic Analysis
  • Compliance Software Efficacy - Evaluation & Training
  • Special Supervision and Monitoring
  • Needs Analysis
  • Product Requirements
  • Gap Analysis
  • Vendor Analysis
  • Vendor Selection
  • Implementation Strategy and Plan
  • Deployment Strategy
  • Contract & Pricing Evaluation and Support
  • Implementation and Process Fulfillment


The TilkinGroup™ participates to afford your company the greatest chance of success.

You should always expect rapid, identifiable and measurable success for YOUR company.

Nothing less is acceptable or relevant.



CONTACT
 image