Financial Market Regulations

Championing the shifting regulatory landscape by designing winning strategies that ensure full compliance, while striving to enhance firms’ competitive offering.

Smart regulatory responses that ensure full compliance

The dynamic regulatory landscape requires banks, insurers and corporates providing financial services to stay ahead of the game by analysing the impact and defining the approach on the go. The primary objective is to implement a comprehensible and simple solution that ensures regulatory compliance. This behemoth of a task is often further complicated by outdated legacy IT systems, procedures and processes, that can jeopardize even the most straigthforward undertaking.

However, this necessary change driven by regulatory requirements can be seen as an opportunity. It helps firms create competitive advantages in product and client offerings while serving as the catalyst to streamline back-office, operations and trading systems. Seeing this change as an opportunity allows institutions to make a leap in modernising how they operate in terms of client service, process, governance and compliance. 

We believe that a smart regulatory response should focus on:

Focus areas of excellence

Our expertise covers a variety of regulatory fields:
  • Investor protection (e.g. MiFID, FINSA, EU Prospectus Regulation)
  • Anti-money laundering
  • Sustainable finance (i.e. ESG)
  • Transition regulations (i.e. LIMES)
  • Data governance (e.g. GDPR)
  • Tax (e.g. FATCA)