Titan Regulation

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Titan Regulation
Titan Regulation Logo.jpg
Founded 2011
Headquarters Chicago
Key People Julie Dixon, managing principal;
Products Regulatory consulting
Website www.titanregulation.com

Titan Regulation is a Chicago-based financial services advisory firm specializing in regulatory compliance for broker-dealers, registered investment advisors, private equity groups and hedge funds.[1] Titan was founded in 2011 by Julie Dixon, who serves as managing principal.

History

Julie Dixon founded Titan after a nearly 20-year career in the financial services sector, which included a 9-year stint at Citadel, where she served as the head of U.S. compliance, and later as head of mortgage compliance. [2]

Products and Services

Titan provides regulatory consulting services to the SEC, CFTC, FINRA and exchange regulated financial services organizations.

Key People

John Lothian News Interview, June 2013

SEC Rule 15c3-5 (“Market Access Rule”), finalized in November 2010, is the commission’s response to the May 6, 2010 "flash crash" in which the U.S. equity market plunged nearly ten percent in a matter of minutes, then quickly rebounded. Compliance with the rule, which places risk management controls on any broker-dealer that offers direct trading access, has been required since November 2011, yet firms still have lingering questions about the adequacy of their self-policing programs. Julie Dixon, managing principal at Titan Regulation, discusses the origins of the Market Access Rule and how it affects buy side firms and their trading activity. She also offers advice on how hedge funds and broker-dealers can be sure their programs are compliant, and what a firm may expect during a regulatory audit of its risk systems.

References

  1. Titan Regulation Welcomes Megan Flaherty as Senior Managing Director. MarketWatch.
  2. Our Team. Titan Regulation.