Sectors

Trading and Broking

Since the financial crisis, the derivatives market has seen unprecedented regulatory reform to provide greater transparency, strengthen capital standards and develop market conduct. Brokers have had to adapt to major regulatory change such as MiFID II, EMIR and the CRD IV. This raft of new regulation sits alongside pre-existing regulation dealing with ICAAPs, best execution obligations and remuneration. Looking into the horizon, brokers are also having to deal with potential future regulatory reforms such as SMCR and EMIR 2.

Our expert team advise brokers across several asset classes and take pride in their knowledge of complex products such as derivatives. We have significant experience in this sector providing guidance on getting authorised and providing ongoing support.

Did you know we have worked with some of the largest brokers in the UK?

Why work with us?

  • We know the broker sector as we have assisted many firms with ICAAP, CRR waiver applications, regulatory authorisation, financial promotion advice, SMCR and CASS.
  • We have deep domain experts who have worked in senior compliance roles at brokers and at the regulator so know the industry inside out.
  • We help you interpret complex regulation and are specialists in FSMA, MiFID II, CRR and SMCR.
  • We thrive on transferring this in-depth knowledge and understanding of the broker sector to you and your team.
  • We provide you with trusted advice and assurance that adds value.

 


Other Sectors

Get in Touch...

Contact our expert, Managing Director, Jamie Cooke

I’m really pleased with the way things went this year. I’m a big exponent of a transparent audit approach and having auditors that are working with you not against you. This was certainly the case this year

- Sam Williams, Chief Operating Officer, Argentex

“Just a word of thanks to you and the team on your continued support! Your expert advice provides us with peace of mind when it comes to regulatory compliance so thank you!”

- Kam Biring, MLRO, Currencies Direct