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Capital Markets are under the scrutiny of UK and pan-European regulators

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.

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.

Our Services

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.

CFD client assessments

Having reviewed how firms assess new client appropriateness for sales of CFD products, the FCA has proposed new tighter regulations.




MiFID II comes into force on 3rd January 2018.  These new regulations demand significant changes in business and operating models, systems, data and processes.



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.

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