Capital Markets 

Capital Market firms get all the authorisation and consultancy options you’d expect, but we also offer a retainer service with individually tailored support packages. For a monthly fee, you get an agreed service delivery and schedule that provides you with budget certainty and on-demand access to a highly reliable compliance partner.

We help a broad range of firms from newly set up to established and more than 100 clients from different sectors of the market enjoy our retainer service - Fund Managers, Investment Advisors, Broker Dealers, including those involved in OTC and exchange based transactions, Equities, Commodities, Derivatives, Foreign Exchange, Contracts for Difference (CFDs) and including Matched Principle Brokers and Execution Only Brokers.

Firms involved in Capital Markets face increased regulatory obligations and closer scrutiny – especially in the areas of know your customer (KYC) and best execution. We have immense regulatory knowledge in our team, with subject matter experts across all critical subjects.

• We offer compliance consultancy and risk management outsourcing. You can see our range of services here

• We help you understand the application of specific obligations such as client money and asset rules

• Regulators expect you to hold sufficient capital based on formulaic requirements, to regularly stress test liquidity risks and to have a robust wind down plan. Our specialist Prudential services can help you interpret the requirements and avoid common errors that are likely to lead to unwanted attention from the regulator. Find out more

• We offer regulatory opinion, including whether certain activities could be deemed an MTF or OTF

• We help you keep pace with regulatory change such as AIFMD, MiFID II and MiFIR, Market Abuse Regulation (MAR), and financial crime

• We make sure your data protection, transaction reporting, suitability and appropriateness compliance and complaints handling are all in order

• Our specialist Cryptocurrency Team can advise on regulation of crypto assets and STOs which is an area of increasing interest for Capital Markets firms

• Clients enjoy the use of our regtech resources, including our client portal, SM&CR System and e-learning platform, to support compliance management and training

We understand a one-size-fits-all approach just doesn’t work when you have a broad range of activities. So we treat all our clients individually, working hard to make sure your regulatory accountability and business growth are mutually compatible.

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