The continued imposition of significant fines and public prosecutions globally for transaction reporting failures, insider dealing and market manipulation serves to emphasize the ongoing commitment of regulatory bodies to meet their statutory objectives of protecting and enhancing market integrity, reducing financial crime and ensuring the proper and effective supervision of financial service providers and markets.
The focus of our highly specialized, multi-disciplined Markets services is to help firms, trading venues and technology providers overcome the practical challenges they face in order to comply with regulatory obligations and meet industry best practice in relation to all aspects of markets, pre-trade and post-trade regulatory reporting and surveillance.
Our markets services are split into three areas:
The breadth of our technical and consulting expertise stems from our integrated understanding of trading markets, deep financial product knowledge, compliance, operational processes and complex IT infrastructure, as well as a cross-border regulatory capability across multiple jurisdictions.
The work of our subject matter experts within markets services includes:
- Design and development of robust, best practice governance and control frameworks tailored to the business model and risk profile of each client
- Risk assessments and regulatory gap analysis
- Peer group bench marking across industry standards
- High level health-checks, quality assurance or deep dive reviews
- Regulatory investigations and regulatory commissioned reviews
- Design and implementation of remediation projects
- Development and delivery of bespoke training and procedural documentation
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Duff & Phelps provides in-depth insight into current and upcoming regulations that impact the financial services industry.