Capital Markets

The energetic world of capital markets is intricate and dynamic. A broad range of political, economic and corporate events heavily influences market volatility and direction. The exchange and over-the-counter (OTC) markets have a crucial role to play in all national and international economies. The industry faces future legislative and regulatory initiatives requiring greater transparency, appropriate centralised clearing and increased regulatory oversight.

We are experienced in advising on the regulatory, accounting, valuations systems and controls issues facing capital market participants. We believe that effective integration of risk management into governance and business decision-making is critical to restore market confidence and move forward. We also have experience in advising firms on their reward strategies to take greater account of risk and longer term business objectives.
 
We have a deep understanding of the challenges facing today’s capital markets industry. We provide a full service capability to the sector and our specialist capital markets team has considerable experience in providing solutions to industry issues, helping firms survive and grow in an increasing turbulent marketplace.

More specifically, with our Financial Services Risk and Regulatory Practice we focus on the following areas:

• Audit, tax and control assurance – including technical accounting and valuations of financial instruments, due diligence work, international tax planning and VAT partial exemption schemes;
• Governance and integrated risk management – AAF01/06 assurance reports, ICAAPs, IFRS 7 and Pillar 3 disclosures;
• Regulation and compliance services – including FSA licence applications, client money and assets, MiFID, transaction reporting and FSA handbook regulatory-related advice such as BIPRU and COBS;
• Internal audit services – including co-source and fully outsourced work;
• IT advisory services – including system selection/implementation, IT security and data analytics.

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