We focus on the following areas:
Regulatory Trade Reporting
• MiFiD - Reporting to the FSA and other European
Authorities.
• SEC - Large Trader Transaction reporting.
• DMO - Gilt Transactions as a Market Maker.
Regulatory Fails Charges
• Treasury Market Practices Group (TMPG) - US Treasuries,
Agencies, MBS
• Japanese Securities Dealers Association (JSDA) -
JGB's
Risk & Compliance Business Diagnostics
• Account Opening, KYC and Credit Risk Management
• Trade Capture
• Trade Settlement
• Income, Market Claims
• Commissions and Fees
• Interest Claims, Interest Allocations
• Priority Client Issue Management
• Key Risk Indicators
Why we're unique
Our subject matter experts have real industry experience based on
roles in major U.S. and European banks. Combine this with our use
of up-to-date, fit for purpose technology tools and an agile
delivery model, and we believe that we have a unique approach to
preparing organisations to navigate the increasingly complex
regulatory landscape.
