Investment banks, broker-dealers, market makers and trading platforms are expanding into an increasing number of retail and institutional markets, covering a diverse range of products and trading strategies.
Broking and trading
Whether you are a single strategy institution, high frequency trader or global broking and trading operation we have the expertise to help ensure your business can meet its regulatory requirements whilst also seeking to grow market share.
We can advise you on a wide range of trading issues including ordering, execution, matching, clearing and settlement as well as pre- and post-trade disclosure requirements, reporting and assurance. We can assist you with back office issues such as custody, stock lending, collateral management, margin, regulatory capital requirements and reporting obligations.
We will work alongside your business whether it be UK-based or international brokers and traders and we can advise you on how adapt existing business models and trading strategies into the European environment.
We can advise you on developing and updating your terms of business, trading rules and related user documentation to accommodate product and technological developments and we regularly assist our clients when dealing UK and international regulators.
Our reputation in the markets sector is built on our strong experience, particularly in relation to exchanges, multilateral trading facilities (MTFs), systematic internalisers (SIs) and OTC crossing networks, which we have assisted in setting-up and subsequently advised on regulatory matters.
News & Insights
Public Company Update - November 2020
The November 2020 edition of our biannual Public Company Update.
FCA two year supervision strategy
In April 2019, the FCA sent a Dear CEO Letter to wholesale market broking firms, committing to taking a “tough stance”...