Difference between revisions of "RPM Financial Markets Group"

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Revision as of 07:24, 13 August 2019

RPM Financial Markets Group
Headquarters Chicago
Key People Tom Bakas, managing principal

RPM Financial Markets Group is a Chicago-based consulting firm, focused on enterprise risk, regulatory compliance and operational assurance.

The firm provides services that cover risk management reviews, and risk and compliance programs, cybersecurity frameworks, preparing regulatory application documentation for Derivatives Clearing Organizations and Swap Execution Facilities.[1]


RPM is staffed by practitioners with extensive experience in the operation and management of a variety of CFTC registrants, including exchanges, clearinghouses, futures commission merchants (FCMs), retail foreign exchange dealers, introducing brokers (IBs) and commodity trading advisors (CTAs).

The firm has developed organizations and programs to comply with the Dodd-Frank regulatory requirements.

Products and Services

The firm focuses on a variety of regulatory and compliance areas including:

  • Cybersecurity frameworks and Information System Security Programs (ISSPs)
  • Independent third-party risk management reviews of FCMs and swap dealers.
  • Development of risk management programs, regulatory compliance programs for FCMs
  • Developing annual compliance reports
  • Preparing regulatory application documentation for Derivatives Clearing Organization (DCO), Swap Execution Facilities (SEF), FCMs, and CTAs
  • Developing contract markets and central clearing for OTC swaps, OTC FX, retail customer markets, binary options and various commodities
  • Developing technical requirements and validating performance of trading, clearing and back office systems.[2]

Key People


  1. RPM Financial Markets Group. RPM.
  2. RPM Financial Markets Group. RPM.