Providing turnkey regulatory compliance consulting, outsourcing, accounting, and technology solutions for the global securities, derivatives and digital assets industry.
REGULATORY COMPLIANCE
WHAT WE DO
We provide turnkey regulatory compliance, consulting and accounting services for the securities, derivatives and digital assets industry. Our services cover CFTC, NFA, SEC, FINRA, FinCEN, MSB, Money Transmitter and State regulations for a wide-array of financial companies from banks, brokerage firms and asset managers to money transmitters, wallet providers, digital asset exchanges, miners, blockchain and NFT projects.
Regulatory Compliance for the Digital Assets Universe | A Division of Guidandt
COMPLIANCE
We provide regulatory compliance services which include obtaining various regulatory approvals, preparing compliance documentation and providing regulatory compliance outsourcing.
CONSULTING
We provide strategic business consulting, infrastructure and operational analysis, trading and risk management and vendor selection for your securities, futures, FX, swaps or digital asset operations.
ACCOUNTING
We provide outsourced accounting solutions which include FINOP outsourcing, regulatory bookkeeping, and FOCUS, WinJammer, 1FR-B and 1FR-FCM financial statement preparation.
“The ultimate goal of every business is profitability – we strive to help our clients build and implement compliance programs that further business continuity and meet the regulatory requirements of such business.”
DAVID GRANZOTTI | CEO
Outsource your regulatory compliance reporting and reduce compliance risks.
REGULATORY COMPLIANCE OUTSOURCING.
Building proven compliance programs and business strategies that are compliant with securities, derivatives and digital asset regulations.
WHO ARE WE
The Guidandt team combines a unique blending of in-depth experience in securities, futures, currencies, swaps and digital assets. Our team has a critical mass of seasoned investment professionals from diverse and complimentary backgrounds, which represent a unique blend of expertise from academia and in-depth financial markets expertise. This is a simple yet powerful model that requires an uncommon combination of skills and experience that very few compliance firms can offer.
DAVID GRANZOTTI
CHIEF EXECUTIVE OFFICER
CHIEF EXECUTIVE OFFICER
DAVID VALENTI
CHIEF OPERATING OFFICER
CHIEF OPERATING OFFICER
RANDALL WILLIAMS
CHIEF MARKETING OFFICER
CHIEF MARKETING OFFICER
PAUL WILSON
SENIOR CONSULTANT
SENIOR CONSULTANT
JEFFEY HELLER
SENIOR ACCOUNTANT & FINOP
SENIOR ACCOUNTANT & FINOP
JOSEF SCHAIBLE
SENIOR CONSULTANT
SENIOR CONSULTANT
NINO GRANZOTTI
SENIOR COMPLIANCE ANALYST
SENIOR COMPLIANCE ANALYST
MICHAEL MCMAINS
SENIOR IT CONSULTANT
SENIOR IT CONSULTANT
MAXWELL YOUNGERMAN
ASSOCIATE COMPLIANCE ANALYST
ASSOCIATE COMPLIANCE ANALYST
STRATEGIC ASSESSMENTS.
Building adaptable and scalable regulatory compliance operations.
OUR SERVICES
COMPLIANCE OUTSOURCING
Outsource your regulatory compliance reports such as AML audits, self-exams, communications reports, customer transaction reports, promotional material reports, branch audits, order entry and trading reports, risk management reprots, sales solicitation reports, customer complaints reports and more.
COMPLIANCE CONSULTING
Obtain regulatory compliance consulting services to help establish proper policies and procedures, compliance infrastructure and best practices that promote compliance with CFTC, SEC, NFA, FINRA, FinCEN, MT, MSB and State rules.
REGISTRATION
SERVICES
SERVICES
CFTC, NFA, SEC, FINRA, FinCEN, MT and MSB registration and membership services for brokers, commodity trading advisors, commodity pool operators, futures commission merchants, swap dealers, broker dealers, investment advisers, money service bureaus and money transmitters.
COMPLIANCE DOCUMENTATION
Obtain various compliance documents for your securities, derivatives and digital assets operations which include written supervisory procedures, disclosure documents, private placement memorandums, account opening documents and AP agreements.
COMPLIANCE INTELLIGENCE.
Analyzing risks and responsibilities to ensure compliance with regulations and corporate governance.
Providing consulting services for your securities, derivatives and digital asset operations.
STRATEGIC BUSINESS
CONSULTING
CONSULTING
We provide strategic business consulting services for your securities and derivatives operations.
INFRASTRUCTURE &
OPERATIONAL ANALYSIS
OPERATIONAL ANALYSIS
We assess your current operations and infrastructure and help build growth strategies that are sustainable, adaptive and profitable.
TRADING OPERATIONS &
RISK MANAGEMENT
RISK MANAGEMENT
We help brokerage firms develop trading operation models that effectively assess, manage, minimize and control market risk.
FRONT, MID & BACK-OFFICE
SOLUTIONS
SOLUTIONS
We assist securities and derivatives firms with their front, mid and back-office infrastructure to help build operational efficiencies.
GUIDANCE WITH INTEGRITY
Guiding our clients through CFTC, SEC, NFA, FINRA, FinCEN, Money Transmitter regulations.
Providing outsourced FINOP and accounting solutions
FINOP
OUTSOURCING
OUTSOURCING
We provide outsourced FINOPs that are Series 27 and 28 licensed to prepare and file financial statements, FOCUS II and IIA reports, SIPC filings and SSOI reports.
REGULATORY
BOOKKEEPING
BOOKKEEPING
We provide monthly bookkeeping and accounting services for SEC and CFTC brokerage firms by licensed CPAs.
FINANCIAL STATMENT
PREPARATION
PREPARATION
We prepare financial statements for securities and derivatives brokers including filing FOCUS, WinJammer, 1FR-IB and 1FR-FCM reports.
FINANCIAL REGULATIONS.
Understanding regulations are vital to your supervisory compliance program and reducing risk.
ENGAGE OUR SERVICES
Guidandt, Inc.
108 Wild Basin Road South
Suite 250
Austin, TX 78746
Main: +1 512 692 6145
Fax: +1 512 697 0046
108 Wild Basin Road South
Suite 250
Austin, TX 78746
Main: +1 512 692 6145
Fax: +1 512 697 0046