Financial Markets And Regulation

The role of financial regulation has once again returned to the centre stage in the wake of the turbulence caused by the recent global financial volatility. Regulations are becoming common-place, increasingly complex, with the attendant difficulty in implementation whilst public pressure on elected representatives exacerbates the propensity for enforcement.

The inter-related nature of modern markets also creates an international dimension to regulation, making the operating environment more complex and challenging for financial institutions.
Our firm offers a full range of advisory services and expertise in the area of retail, wholesale and central banking particularly as they relate to risk management, regulatory control, enforcement and compliance matters.
We can advise and help in the revision of old rules or development of new regulatory regimes, forensic analysis of regulation and extant legislation, compliance protocol, particularly as they relate to documentation and reporting obligations, investigation and monitoring as they relate to market cleanliness and enforcement strategies, including advice on proper use of Chinese Walls and relevant devices in managing conflicts of interests and duties, whether arising from conglomeration or not.

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