Capital Markets

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 SEAR and EMIR 2.

Our expert team advises brokers across several asset classes and takes 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 Ireland?

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, and SMCR.
  • 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 MiFID II, CRR and SEAR.
  • 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.

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Get in touch...

Contact our expert, Managing Director, Jamie Cooke