we keep  you up to date in the ever changing regulatory environment...

ABOUT

Samara Compliance was founded because of the increased regulation in the financial industry. The increasing number of trading venues and constant changes of regulation make it hard for brokers-dealers to keep up with the regulatory environment. Additionally, the massive data driven by high frequency traders and the popularity of algorithm makes it challenging for regulators to comprehend and analyze.

Hence Samara Compliance will be there to assist you in strengthening your culture of compliance.

SERVICES

We provide customized  regulatory compliance and technology solutions for broker-dealers, proprietary trading firms, brokers and market makers, exchanges, regulatory agencies and technology solution companies, among others.

To learn more how we can help you

THE 

PRINCIPAL

Khalid Essafi is the founder of Samara Compliance LLC with almost 20 years of experience in the regulatory industry. Prior to starting his own venture, Mr. Essafi served as Director of Market Surveillance at NASDAQ and at the International Securities Exchange (ISE) where he led the surveillance group in designing, building and testing numerous surveillance patterns for six options exchanges in SMARTS Surveillance Solution and other in house surveillance tools. He was the main regulatory technology liaison, helped build a strong regulatory program for both Options (Equity, ETF, Index and FX) and Equity using comprehensive policies and procedures and a thorough supervisory process, and assessed the regulatory program for Futures products. With Mr. Essafi's capability, acquired expertise and skills in the area of regulatory compliance, surveillance and technology solutions, SAMARA can adequately handle an organization's compliance  needs.

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