Investment Banking and Capital Markets
We work with firms in Investment Banking and Capital Markets, supporting clients of all sizes across their primary and secondary market activities. We provide advisory, assurance and project management services. Our work includes; strengthening trading controls; implementing an IPO, bond issuance or capital raising project; implementing a surveillance infrastructure; and improving the approach to the management of conflicts of interest.
Our team works closely with firms to enhance their financial and non financial risk frameworks as well as their compliance capabilities. We provide resourcing and advice on their policies, procedures, systems and controls. We can also advise clients on their governance models, operational resilience and Client Money controls.
Our Approach
In addition to macro system and controls assignments, we’ve helped firms to understand:
The adequacy and effectiveness of surveillance
Including roles and responsibilities, alerts handling, resourcing, the robustness of technology and the management and escalation of suspicion
Conflicts of interest and barriers
Covering physical and technological control within firms and between organisations
Trading practices
Particularly when interacting with the retail markets or in complex, less liquid products and markets.
Investment Banks are also receiving additional scrutiny on:
Consumer Duty
Specific requirements on firms that manufacture products that will end up being distributed to retail customers; and
Remuneration
Focussing on the remuneration for brokers and those in trading roles and the impact on behaviours.
We can provide the support and advice firms need whether they’re embarking on a material project, subject to regulatory scrutiny or looking for an evaluation of their systems, controls or governance.
