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Our Process

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Pain Point Resolutions

Every client has “pain points.” We at HK Consulting have a wide variety of tools we can use to diagnose, assess, address and solve problems.  Our approach allows us to identify the root cause of a problem, fix that problem, and implement a solution to avoid the problem going forward.

 

Many tools are available. We use the tools, methods, techniques that are most efficient and effective for the client. 

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Once we identify the problem and its root causes, we can develop options of how to solve the problem.  Sometimes, a client may need no more than professional services advisory support and can address and fix the problem independently.  In many other cases, clients find it helpful, beneficial, and cost effective to engage our firm to either provide a solution ourselves, or work with the company staff to resolve the problem internally.

 

Services

HK Consulting provides customized business operations service packages that are designed to meet your specific business needs in your timeframe. We will work to improve your organizational flow, identifying bottlenecks, redundancies, and potential points of failure so you can focus on what matters - running the business.

 

Process flow mirrors cash flow; by improving your process flow you improve your bottom line.

 

We look at the following processes and provide direction on how to best enhance them to meet the needs of your business:

  • manual workflows

  • STP technology

  • due diligence and client onboarding

  • SDR reporting

  • trade surveillance

  • exception monitoring and alerting

  • management reporting

  • internal audits

  • regulatory exam management

  • issue remediation

 

Results

Reduced regulatory issues/fines, increased organizational efficiency, and increased profitability.

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Contact us today for a free quote.

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© 2024 by HK Consulting Solutions

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HK Consulting Solutions (“HK”) cannot assist your firm with matters that an NFA or CFTC registered member is required to attend to personally. While we are always able to offer your firm assistance, please be advised that in certain situations and environments we will not be eligible to communicate directly with a regulatory authority on your behalf. With respect to any HK service, correspondence, or written advice, please be advised that HK is not licensed to practice law in any state and under no circumstance shall you use, represent or construe the advice given by HK to constitute legal advice or a legal opinion. HK is also not licensed in any state as a certified public accountant and as such you should not use, represent, or construe the advice given by HK to constitute a certified accounting or tax opinion. Additionally, we inform you that a regulatory agency may not adopt the opinion of HK on any particular regulatory matter with respect to which HK renders advice, regardless of any understanding such authority has of HK as an expert in NFA or CFTC compliance consulting.

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