Data Mapping, Mining & Modeling

Providing Comprehensive Solutions

Advanced Securities Consulting applies state-of-the-art data preparation, data mining, forensic and statistical techniques to accounting and transaction data to provide the most meaningful, comprehensive, and cost-effective solutions for financial institutions. ASC specializes in mapping relationships between large historical and disparate data sets to assess the revenues, costs, profitability and reasonableness of financial transactions. ASC's experts also have extensive expertise in qualitative assessments of contract provisions, service proposals, investment policies, operational protocols, and regulatory compliance issues. ASC leverages these abilities to:

  • Identify, obtain and normalize pertinent data
  • Map relationships between multiple datasetsData Image
  • Produce in-depth analytics solutions and market research
  • Model financial transactions and investment programs
  • Design, implement, and sustain financial databases
  • Design and produce customized reporting
  • Provide tailored business strategy and consultation
Recent data analysis consulting engagements include profitability analyses, program fee comparisons, investment return evaluations, assessments of affiliated programs, analyses of international tax effects of financial transactions, and investigations of corporate governance processes.

Using Forensic Techniques to Support Compliance

Advanced Securities Consulting has developed ways to use forensic data techniques to strengthen and support financial firms' compliance programs. Using historical data, ASC detects trends and patterns in practices and activities that can be used to improve compliance functions, set benchmarks, and test their effectiveness over time. Our forensic techniques and analyses have also been used successfully to build a quantitative compliance track record that can be used to assure regulators like the SEC and CFTC of the soundness and robust nature of clients' compliance cultures. These statistical track records are particularly useful in aiding clients in responding to Wells notices and regulatory investigations, and can provide additional factual support when seeking regulatory relief.