Expertise that adds value

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Capital Markets

fscom’s Capital Markets practice has a team of experts who specialise in working with brokers and market makers, custodians and platforms. 

Expertise that adds value

Our deep domain specialists have worked within industry so understand your business model. This means, they can translate complex regulations into practical, compliant solutions to make quick, commercial decisions.

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Our services

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Mid-sized banks have faced challenges in recruiting for Prudential Risk Management, primarily due to the complexity of risks and the need for regulatory liaison experience. fscom offers an effective solution through access to a diverse range of experts who can provide second-line support across disciplines such as ICAAP, ILAAP, Recovery and Resolution Planning, and Model Risk Management.

Benefits include:

  • Access to a range of specialised experts rather than hiring one generalist
  • Implementation of best practices from a wide range of banking environments
  • Shorter learning curve
  • No training burden
  • Minimised risk of unsuitable hires
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fscom’s team specialise in offering comprehensive assurance and audit services tailored specifically for Capital Markets firms. Our suite of services is designed to address the unique challenges and regulatory requirements faced by these firms, ensuring they not only comply with current standards but are also poised for future growth.

Our audit process involves a side by side analysis with your teams, thorough testing, and a comprehensive review, resulting in a draft report.

Our Assurance and Audit services include:

  • Health checks and maturity assessments
  • Operating model reviews and enhancement
  • Annual audit services including CASS, AML, Safeguarding, IT and Operational Resilience
  • Multi-year assurance programmes
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We help capital market firms stay on top of regulatory requirements.

Our goal is to ensure we provide you with the advice you need to grow your business in a compliant way.

We have a multi-disciplinary team of subject matter experts who can advise you on:

  • Conduct (Consumer Duty, SMCR/IAF, Fin-prom)
  • Operational resilience
  • Prudential risk (Wind-down planning, ICARA)
  • Information security 
  • Protection of funds (CASS)
  • Financial crime prevention
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We can boost your team’s skills and give you more control by offering support from our Managed Services team. This way, you can focus resources on the critical compliance functions and outsource other functions to our team.

  • KYC/CDD remediations
  • Staff augmentation
  • Interim roles
  • Regulatory reporting

Client success stories

Our solutions have driven success for numerous clients within the capital markets sector, highlighting our commitment to excellence and client satisfaction.

Case Study

S166 – CASS Tom and Business model for an investment manager

An investment manager had failed to ensure adequate arrangements to protect client assets. This gave rise to a potential for harm to the client and the...

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Insights from our thought leadership

Latest news

Key Trends Facing the UK Capital Markets Sector in 2024
We heard from fscom’s CEO, Jamie Cooke, on the outlook for the industry and the challenges facing firms over the next 12 months. Key focus areas discussed included innovation and digital assets, sustainable finance, prudential regulation, wind–down planning and CASS, operational resilience, consumer duty and financial crime.
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From the Blog

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If you are looking for a thorough, independent audit of your safeguarding arrangements by the leading experts in the industry, contact us today for a free initial consultation.

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