Compliance Support for Capital Markets businesses
The regulatory environment for Capital Markets in the UK is complex, and ever evolving. We help a wide range of firms, including Exchanges, trading platforms (MTF/OTF), brokers across all asset classes, proprietary trading firms, digital assets businesses and benchmark administrators to manage their regulatory obligations.
Our dedicated Capital Markets practice has deep expertise in areas of focus for the FCA in the sector, including financial crime, market abuse, trade and transaction reporting, employee compliance, SMCR, ICARA and exchange rules compliance.
Authorisations and Variations of Permission
Capital Markets businesses looking to establish in the UK for the first time, or extend into new business lines from an existing entity, will need to seek approval from the FCA. Drawing on experience as former regulators and from in-house compliance roles, our team has a deep understanding of what is required from the FCAs perspective. We can help you to understanding your regulatory obligations, prepare your application and support you in responding to queries throughout the process.
Regulatory Projects
Our team brings proven subject-matter expertise across key regulatory areas, including financial crime, market abuse, trade and transaction reporting, employee compliance, SMCR, ICARA and exchange rules compliance. We have delivered stand-alone projects for a wide range of firms, helping them navigate complex requirements with clarity and confidence.
We understand the challenges these regulatory topics create, and our experience spans both regulated firms and the regulator itself. Whether you need a second opinion on how ever-evolving rules may impact your firm, or hands-on support with detailed reviews and implementation, we can provide bespoke services to suit your needs. We pride ourselves on providing a people-led, collaborative service, ensuring that any enhancements are proportionate, practical, and aligned to the realities of your business.
Compliance Health Checks
We can review your compliance framework and give our view on whether your arrangements meet regulatory requirements and expectations, and how you compare to your peers. We can review your policies and procedures, sample files, and speak to your staff, and then advise you on whether we see any compliance risks or issues and how these can be addressed.
International growth
Many Capital Markets businesses are global by design, servicing clients from a wide range of jurisdictions, and connecting global markets. In addition to the UK, we support clients with regulatory applications and ongoing compliance obligations in the EU, UAE, Hong Kong, Singapore and Australia.