Capital markets
In today's fast moving capital markets, regulatory expectations are rising - and brokers are under pressure to prove control, governance and resilience. Whether you're scaling operations, adapting to MiFID or dealing with scrutiny from the regulator, your ability to grow depends on the strength of your compliance maturity. We help you benchmark where you stand, close the gaps and lead with confidence.
How we help
We understand the pressures facing brokerage firms, whether it is keeping pace with FCA expectations on governance, reporting and personal accountability, managing market abuse risk and surveillance obligations, strengthening systems and controls ahead of inspections or audits and scaling operations while maintaining regulatory compliance. We align our services to key moments in your compliance journey:
- Launching or restructuring your brokerage? Get authorised and set a strong foundation. We help you launch with a regulator ready platform and long term credibility.
- Growing or undergoing review? Prove your maturity and readiness for scrutiny with a compliance healthcheck or SMCR audit, governance and control enhancements.
- Facing regulatory pressure or change? Demonstrate control with remediation support and assurance reviews, enforcement response and regulatory liaison. You regain control, protect reputation and future proof operations.
Key services
Why work with us?
As compliance maturity specialists with former regulators and seasoned practitioners on our team, we provide tailored, hands on support to interpret regulations, enhance resilience and drive your compliance forward with confidence.
- Accelerated engagement – We hit the ground running with tried and tested delivery methodology, providing fast, effective solutions tailored to your firm’s needs.
- Industry benchmarking – We leverage data from our client engagements to provide you with real time industry benchmarking.
- Regulatory insight – Our experts, including former regulators, ensure you have the inside knowledge to stay ahead of evolving requirements.
- Voices in the industry – We are embedded in the regulatory and industry conversation, and trusted by some of the UK's fastest-growing and most complex brokers.
Client success stories
MiFID II impact analysis for multinational financial services institution
Client success stories
Independent compliance assurance for a global payments institution during acquisition negotiations
Client success stories
Supporting a $220M Series E Investment with a comprehensive assessment of financial crime controls, foreign exchange pricing, and client money arrangements
Client success stories
Regulatory due diligence for a multi-million pound acquisition of an exchange by global financial services company
Insights that keep you ahead
Access expert insights, regulatory updates and in-depth analysis from our sector specialists. Our thought leaders break down emerging risks, evolving expectations and industry trends - giving you the clarity to strengthen governance, enhance control frameworks and lead with compliance maturity.
Sector specialists
Our sector specialists partner with compliance leaders across financial services - from payments and e-money to asset management, banking, capital markets, and digital assets. Where others bring general advice, we bring sector specific insight, structure and solutions that build confidence, resilience and readiness.
Talk to our capital markets specialists
Connect with our experts to discuss how we can develop capital markets compliance solutions for your business.
