- Set-up and assessment of compliance organizations, in consideration of the respective regulatory requirements in light of the principle of proportionality
- Process analysis and proposals for action to comply with 'Know your Client' regulations
- Process analysis and proposals for action in aherence to regulatory rules to prevent market abuse (insider trading, market manipulation)
- Analysis and recommendations for action on queries and individual issues relating to stock exchange organisation law (e.g. regulations, admission of participants, algorithmic trading, high frequency trading)
- Preparation of and assistance with supervisory and special audits
- Assistance in conducting internal investigations to detect and identify regulatory/criminal issues
- Assistance in meeting notification-, reporting- and publication requirements
- Assistance with your interaction and correspondence with regulatory /supervisory authorities and surveillance units of exchanges
- Support as to the selection and implementation in practice of electronic monitoring/ surveillance systems for agency and/or proprietary trading of financial products
- Regulatory assessment, risk analysis and relevance rating of electronically generated findings ("alerts") of electronic monitoring/ surveillance systems for agency and/or proprietary trading of financial products
- Support as to the parameterization of electronically generated findings („alerts") of electronic monitoring/ surveillance systems for agency and/or proprietary trading of financial products based on regulatory relevance and supervisory risk
- Analysis and assistance with the regulatory classification of your manual and algorithmic trading strategies with regard to their compliance with the trading rules of the exchanges/trading platforms and other regulatory requirements (e.g. MIFID, MAR, MAD)
- Analysis and assistance in the regulatory classification of envisaged trading strategies and products with respect to their compliance with the trading rules of exchanges/trading platforms and other regulatory requirements (MiFID, MAR, MAD)
- Regulatory assistance in the regulatory classification of market models, trading strategies and products
- Explanation of trading- and market models incl. process sequences of exchange trading
We have listed a few elements of our service portfolio here only.
Do you have specific queries with regard to Capital Market Compliance, or would you like to clarify current regulatory issues?
Please do not hesitate to contact us. A trusting client relationship is important to us. During a first consultancy session, we will define together the possibility of a further common approach.