Prepare and Plan for Regulatory Change
FMR Advisory was established to help address two key areas
The regulatory obligations impacting so many institutions, as they enhance their conduct based initiatives to ensure the best possible culture is not only followed, but also lived by the firm.
Established in 2014, we have focused our regulatory work on mitigation of Conduct Risk. Whether you are optimising the Best Execution regime, working on distribution controls for information to clients, 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.
Separately, we are advising institutions and supranational institutions in addressing a wide range of projects from building out liquidity in local FX markets, to understanding and recording infrastructural change over the last 10 years in a region's capital markets
Frequently encountered client issues
- Establishing best execution policy and execution rules - including for spot FX.
- Setting up code of conduct training and acknowledgement.
- Workflow tools to recognise MIFID investor protection requirements.
- Establishing robust monitoring & record keeping for customer communications.
“Robin’s knowledge of the regulatory landscape proved invaluable during the development of our business white paper. His deep understanding of the FX marketplace was a great asset during its development. The result was a thought-provoking, well-written piece that was well received by the market.”
― Hugh Whelan, EBS BrokerTec