Capital Markets Compliance

In recent years the investment services industry has faced a broad set of new regulatory requirements, such as MiFID, which have resulted in large implementation projects.

This trend was accelerated by the financial crisis, which forced national and international institutions to release new legislations to protect investors’ rights and secure the stability of financial markets. New requirements have to be implemented in shorter periods with a deeper impact on core processes, for example the renewal of the German Securities Act.

Equally importantly, companies have to reduce compliance risks to avoid reputational damage, financial or personal sanctions and run a stable business.

As a result, it is business critical to understand the impact of regulatory requirements on core processes and to implement appropriate risk mitigation tools and controls. In addition, ongoing compliance monitoring shows the effectiveness of the chosen compliance instruments.

 

How BearingPoint brings value

Our Capital Markets Compliance (CMC) solution helps you identify and evaluate new national and international legislations and implement effective and efficient work programs.

Key components include:

Contact

  • Vahan Guermann

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  • Franz Hiller

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