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Capital Markets Compliance


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CMC specializes in providing regulatory guidance for firm that offer securities products as well as bank requiring market risk management reviews. …

CMC specializes in providing regulatory guidance for firm that offer securities products as well as bank requiring market risk management reviews.

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  • 2. CAPITAL MARKETS COMPLIANCE CMC specializes in providing regulatory guidance for firm that offer securities products as well as bank requiring market risk management reviews. The ever-increasing number of regulations and an inherent lack of clarity about what is required for a company to comply with new legislation creates a need for holistic governance, risk and compliance (GRC) solutions.
  • 3. CMC INCLUDES: Trade Monitoring To enhance transparency of trade policy developments around the world and to provide Members with an up-to-date picture of trends in the implementation of trade restrictions, in particular in times of economic crisis when protectionist pressures surge Trade Surveillance System Trade Surveillance System is designed for the Compliance Department of an Investment Banker to detect and monitor irregular or suspicious transaction behavior that may jeopardize the reputation of your business.
  • 4. BROKERAGE & REGULATORY COMPLIANCE Brokerage Compliance Firms need compliance capabilities that detect, prevent and deter non-compliant activities today, and offer the flexibility to meet future regulatory compliance needs. Regulatory Compliance It describes the goal that corporations or public agencies aspire to achieve in their efforts to ensure that personnel are aware of and take steps to comply with relevant laws and regulations.
  • 5. COMPLIANCE Trading Compliance Software and services for the purpose of monitoring and ensuring business activities and functions are in line with trading regulations and laws enforced by various regulatory bodies. Insider Compliance Solution Employees working in global market environments such as investment banks, corporate finance, research, and other divisions will have non-public information about corporations. This information can potentially lead to insider trading activities for personal benefits.
  • 6. CONT…… Compliance Cockpit  Control the operational and technical status of the research and risk assessment systems  Monitor the management of cases  Measure the duration and efficiency of the compliance measure  Use the compliance application  Detect the key area and distribution of compliance risks (money laundering, fraud, financing of terrorism)
  • 7. ENERGY TRADING Energy trading surveillance An energy trading compliance Web page or Intranet that allows personnel to electronically access compliance policies, procedures and manuals; request information or obtain updates on energy regulatory developments; and seek guidance from the energy trading compliance group. REMIT requirements Defining market abuse, in the form of market manipulation, attempted market manipulation and insider trading, in wholesale energy markets and introducing explicit prohibitions of market manipulation, attempted market manipulation and insider trading in wholesale energy markets.
  • 8. MARKETS COMPLIANCE Best Execution Monitoring It is for multi-market participants, monitoring trading activities over a given period as well as responding to queries about specific orders and trades. Mifid solution The Markets in Financial Instruments Directive (MiFID) is the European Union’s answer to the need to regulate the ever- growing investment market in Europe, and to protect investors
  • 9. MARKET ABUSE TECHNOLOGY Market Abuse Surveillance Using the trade surveillance system, you should be able to spot any irregularities in the equity, income and derivatives market, and also ensure your business remains compliant. Non-compliance can lead to cancellation of trade license. Market Abuse Solution Market Abuse is a powerful automated solution for surveillance of attempted market abuse and market manipulation. It helps financial institutions identify complex, dangerous trends and suspicious patterns.
  • 10. CONT…. Market Abuse Directive (MAD) The MAD was implemented on 1 July 2005 and affects all firms and individuals who participate in a regulated market. The specialist handbook MAR includes our guidance on the application of the market abuse regime. We have published a number of articles giving views on market abuse issues in our publication, MarketWatch newsletter.
  • 11. Address: 23 Austin Friars London, EC2N 2QP United Kingdom Contact details Phone: +44-(0)-20-317-88-542 Fax: +44-(0)-20-317-06-271 Email: To know more visit: