Client
GAP analysis and remediation for global FX brokerage
Objective
Worked with a global FX brokerage to carry out a ‘root and branch’ review of their compliance with the main investment firm rules in the UK, specifically, MiFID, EMIR, financial promotions and governance.
Approach to engaging with clients
We prepared a remediation plan to address all gaps over a 12 month time resulting in a best in class compliance framework.
