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.
Meet the team
Use and Regulation of Renewable Energy Certificates in the UAE
The market for trading in renewable energy certificates is set to increase in both visibility and importance.
Public Company Update - November 2020
The November 2020 edition of our biannual Public Company Update.
IPSX – Real Estate’s new stock exchange
The IPSX is an FCA Regulated market and the first stock exchange for real estate in the world.
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”...
The UK Stewardship Code: 2020
The code, effective from 1 January 2020, retains a focus on long-term investment, with increased scope, standard and application.
Senior Managers and Certification Regime on 9 December 2019
All FCA regulated firms will become subject to the Senior Managers and Certification Regime (SM&CR) on 9 December 2019.
SMCR – Briefing Note for Broking and Trading Firms
All broking and trading firms which are regulated by the FCA will become subject to the SMCR on 9 December 2019.
Wholesale broking firms under the regulatory spotlight: PFOF update
Brokers can expect to see a considerable increase both in regulatory activity and in enforcement action.
ECM and Brexit: business as usual?
We consider how ECM could be affected by the UK's impending departure from the EU
Charles Russell Speechlys advises India Capital Growth Fund on its move to a premium listing on the Main Market
India Capital Growth Fund Limited is a closed-ended investment company incorporated in Guernsey.
Charles Russell Speechlys advises Chelverton Small Companies Dividend Trust PLC
We understand to be the first combined C share and ZDP issue in the market.