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Capital Markets Compliance
In recent years the investment services industry has been confronted by a broad set of new regulatory requirements which partially resulted in large implementation projects (e.g. MiFID).
This trend was accelerated by the impact of the financial crisis, which forced national and international institutions to release new legislations to protect investors’ rights and secure the stability of the financial markets. New requirements have to be implemented in shorter periods with a deeper impact on core processes (e.g. renewal of German Securities Act).
Equally importantly, companies have to reduce compliance risks to avoid reputational damage, financial or personal sanctions and run a stable business.
It is business critical to understand the impact of regulatory requirements on core processes and to implement appropriate risk mitigation tools and controls while an on-going compliance monitoring shows the effectiveness of the chosen compliance instruments.
How BearingPoint brings value
Our Capital Markets Compliance (CMC) Solution supports securities services companies and related industries by identifying and evaluating new national and international legislations and implementing effective and efficient work programmes.
Avoiding insider dealing(s)
Avoiding market manipulation
Managing conflicts of interest
Personnel account dealings
Markets in Financial Instruments Directive (MiFID)
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