Market Services

Comply with regulatory obligations and meet industry best practice in relation to all aspects of markets, pre-trade and post-trade regulatory reporting and surveillance.

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Explore Financial Services Compliance and Regulation

The continued imposition of significant fines and public prosecutions globally for transaction reporting failures, insider dealing and market manipulation serves to emphasize the ongoing commitment of regulatory bodies to meet their statutory objectives of protecting and enhancing market integrity, reducing financial crime and ensuring the proper and effective supervision of financial service providers and markets.

The focus of our highly specialized, multi-disciplined Markets services is to help firms, trading venues and technology providers overcome the practical challenges they face in order to comply with regulatory obligations and meet industry best practice in relation to all aspects of markets, pre-trade and post-trade regulatory reporting and surveillance.

The breadth of our technical and consulting expertise stems from our integrated understanding of trading markets, deep financial product knowledge, compliance, operational processes and complex IT infrastructure, as well as a cross-border regulatory capability across multiple jurisdictions.

The work of our subject matter experts within markets services includes:

  • Design and development of robust, best practice governance and control frameworks tailored to the business model and risk profile of each client

  • Risk assessments and regulatory gap analysis

  • Peer group bench marking across industry standards

  • High level health-checks, quality assurance or deep dive reviews

  • Regulatory investigations and regulatory commissioned reviews

  • Design and implementation of remediation projects

  • Development and delivery of bespoke training and procedural documentation 

Related Team

Connect with us

Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
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Zach Johnson is a director at Duff & Phelps.
Zach Johnson
Director
Financial Services Compliance and Regulation
London
Phone
Tammy Li is a director at Duff & Phelps.
Tammy Li
Director
Financial Services Compliance and Regulation
London
Phone
Mark Turner
Mark Turner
Managing Director
Financial Services Compliance and Regulation
London
Phone

See all servicesStay Ahead with Kroll

Valuation

Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.

Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.

Corporate Finance and Restructuring

M&A advisory, restructuring and insolvency, debt advisory, strategic alternatives, transaction diligence and independent financial opinions.

Cyber Risk

Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.

Environmental, Social and Governance

Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.

Business Services

Expert provider of complex administrative solutions for capital events globally. Our services include claims and noticing administration, debt restructuring and liability management services, agency and trustee services and more.

Regulatory Updates


Back from the Brink – Silicon Valley Bank UK’s Implications for Alternative Asset Managers

Mar 17, 2023

by Matteo Basso Warren Low

Compliance


Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

Mar 17, 2022

by Monique MelisMaria EvstropovaKen C. Joseph, Esq.Hannah RossiterAlan KeatingMalin NilssonAaron  Weiss

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