Brokerage

Moore Stephens are well established in providing bespoke compliance and risk management solutions to broker-dealers operating across derivatives and  securities markets. We understand that firms operating in this space have a challenging time grappling with UK and European Regulation.
 
This is where we come in. With our industry knowledge and hands-on experience dealing with clients in the brokerage sector, we are able to provide timely regulatory and compliance solutions to our clients.
 
Our scope of work ranges from getting firms FCA authorised, establishing an ongoing compliance frame work and meeting all other regulatory obligations regardless of their size and complexity. Our approach is tailored and flexible therefore ensuring that we capture and deliver a smooth and efficient end to end outcome.