Sector Focus: Capital Markets
Capital Markets are under the scrutiny of UK and pan-European regulators, with increased expectations and requirements regarding risk, capital management and delivery to client. Our dedicated Capital Markets Practice Practice is led by Jayson Upton. Find out more about Jayson CLICK HERE
Capital Markets and the Broker Dealer community, specifically Derivative and FX firms, receive constant regulator attention due to the higher risk nature of their activities and the potential impact volatility can have on clients and firms alike.
For Matched Principle Brokers there's concentrated regulatory focus on the protection of Client Money and the management of margin risk, while Advisory Brokers need to deal with continuous review of the quality of advice provided to clients.
"Appropriateness" is key issue for Execution-Only Brokers, for whom it's imperative that clients are fully assessed and the firm has the processes in place to monitor client activities.
Compliancy Services has experience in OTC and exchange-based transactions and our clients work in a range of markets including Equities, Derivatives, Commodities, CFDs and Foreign Exchange. We're retained by hundreds of Capital Markets firms to help with their authorisation applications, on-going compliance management and staff training.
MiFID II is due to be fully implemented across Europe in Q1 2017, increasing reporting requirements and capturing Commodity, Algorithmic and High-Frequency traders within regulation. Firms are required to carry out increased "provider" due diligence and more thorough assessments.
Enquire About Our Compliance Consultancy Services
If you'd like to discuss your specific situation and how we may be able to help, please provide your contact details using the form below and a member of our team will get in touch. Or alternatively call us on 020 7060 4499.