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.
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
Comprehensive compliance and regulatory support for EU firms.EU Regulation
Comprehensive compliance and regulatory support for FCA authorized firms.UK Regulation
Assistance for MTFs in identifying market abuse.Trading Venues
MiFIR Transaction Reporting
Transaction reporting assistance for EU funds.MiFIR Transaction Reporting
Global Fraud and Forensic Investigations
Expert analysis to help clients understand, prevent and manage fraud.Global Fraud and Forensic Investigations
Management Company Services
Infrastructure, staff and supervision for AIFM/UCITS ManCo duties.Management Company Services
Nick Bayley Featured in Professional Adviser and Investment Week Discussing MiFID II
Nick Bayley Featured in HFM Week: FCA Lasers in on PA Dealing