KOR Group Expert Consulting Services

 

KOR Group LLC is a compliance consultancy that provides expert consulting services on all aspects of capital markets specializing in best execution, order routing, high-frequency trading, mock examinations and back office operational compliance.

We review financial services firms' policies, procedures and practices for compliance and business risks. 

We also provide strategic and technical advice regarding private litigation as well as investigations by federal and state regulators or prosecutors. Our services include helping in the preparation of key facts analysis and expert witness testimony.

Today’s trading markets are highly complex and you cannot afford to overlook the latest changes in market policy that affect your business.

Past and current clients include institutional asset managers, pension plans, registered investment advisers, stock exchanges, alternative trading systems, proprietary trading firms, US government agencies and more.

 
 

 

Our team has decades of experience in US and international equity, futures and options markets.

KOR's partners include securities law and regulation specialists, stock lending and borrow analytics and compliance risk consultants.

 
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CHRIS NAGY,Founding Principal

Chris is a 32-year veteran of Wall Street with deep trading and US market-structure expertise. Chris was previously managing director of order routing and market-data strategy at TD Ameritrade where his responsibilities included developing and implementing best execution, routing technology and execution analytics, as well as developing routing and execution strategy. During his 12+ years with TD Ameritrade, Chris also co-headed the firm’s government relations efforts. Prior to his time at TD Ameritrade, Nagy worked with US Bank, MJK and Shearson Lehman Brothers.

Chris has served on a multitude of industry committees and exchange boards, including Vice Chairman of the Philadelphia Stock Exchange, NYSE AMEX Options Exchange, Nasdaq Quality of Markets Committee, Security Traders Association Trading Issues Committee, FINRA UTP Committee, Options Industry Council Roundtable, and as Chair of the SIFMA Options Committee.

Chris has also testified before Congress on numerous occassions and regularly appears before the U.S. Securities and Exchange Commission to speak on behalf of market-structure related issues.

Chris is also Co-founder and Director of Healthy Markets Association, a non-profit association of buyside firms that seeks to promote data-driven reforms to market structure.