Capital Markets
We work with firms in Capital Markets, supporting clients of all sizes across their primary and secondary market activities. We provide advisory, assurance and project management services. Our work includes:
- Strengthening trading controls;
- Managing an IPO, bond issuance or capital raising project;
- Implementing a surveillance infrastructure; and
- Improving the approach to the management of conflicts of interest.
Our team works closely with firms to enhance their financial and non-financial risk frameworks as well as their compliance capabilities. We provide resourcing and advice on their policies, procedures, systems and controls. We also advise clients on their governance models, operational resilience and CASS controls.
Our Approach
In addition to macro system and controls assignments, we’ve helped firms to understand:
- The adequacy and effectiveness of surveillance: including roles and responsibilities, alerts handling, resourcing, the robustness of technology and the management and escalation of suspicion
- Conflicts of interest and barriers: covering physical and technological control within firms and between organisations
- Trading practices: particularly when interacting with the retail markets or in complex, less liquid products and markets.
- Consumer Duty: specific requirements on firms that manufacture products that will end up being distributed to retail customers; and
- Remuneration: focussing on the remuneration for brokers and those in trading roles and the impact on behaviours.
