WHAT WE do
Over the last year we have focused our regulatory work on preparation for MiFID II, Senior Managers and Certification Regimes and mitigation of Conduct Risk. Whether you are wrestling with setting up your Systematic Internaliser, working on Best Execution as part of your investor protection, or concerned about front office conduct risk in areas such as fixings and sales relationships - we can help plan and integrate the most efficient approach.
EXAMPLES OF RECENT CLIENT WORK
Behaviour: White paper
Having interviewed a number of staff and customers of the institution we wrote a white paper on behaviour within relationship-based and central limit order book trading. This summarized the views of active market participants into a coherent report that while written in everyday language, did not lose any of the impact of the participant views.
Behaviour: Code of Conduct
We worked with a global representative organization to help edit and prepare their Code of Conduct, ensuring a greater accuracy and ‘readability’.
MiFID preparation: Best Execution, Systematic Internaliser...
We performed a gap analysis for a multi-asset front office system, including trading functionality, to identify where MiFID may require future development; and then advised on potential prioritization of the potential areas.
MiFID preparation: Best Execution
We worked with a company to prepare their product so that it encompasses Best Execution within its service proposition, ensuring higher relevance and a new sales pipeline.
Local market development