Brokers, Dealers & Traders

Compliancy Services work with Brokers, Dealers and Traders across a range of different markets. We have expertise in OTC and exchange based transactions and our clients work in a range of markets including Equities, Derivatives, Commodities, CFDs and structured products.

We can help traders and brokers in a number of ways:

Defining the Compliance Monitoring Programme, Procedures and related documentation
Reviewing the current compliance status and providing clear guidance on the steps required to be compliant
Carrying our regular audits or monitoring of Conduct of Business activities (such as client calls for example)

Did you know: We also work with both institutional and retail firms, and have acted as a Skilled Person under Section 166 of FSMA for the FSA on a number of occasions in investment advice and derivative related projects.