Broker services

Kinetic Partners has an experienced team of financial services experts including chartered accountants, regulatory experts and lawyers. The team has worked to provide solutions to both large interdealer brokers as well as smaller broker/investment managers dealing with retail clients. 

Our experience ranges from persons having held CFO functions within the broker industry to individuals well versed in the complex world of retail advice. We also employ a number of ex-regulators familiar with supervising this sector. This allows us to offer practical, tailormade solutions for each client.

Having a large client base and extensive experience allows the team to easily benchmark your processes and procedures against best practice. Below are examples of services recently provided to this sector:

• Tax advice
• Internal audit
• ARROW preparation
• Regulatory training (AML, market conduct, etc)
• Transaction reporting and Trade reporting
• Market surveillance services
• Trading venues operational and regulatory support
• CASS
• Section 166/Post Section 166 implementation and remedial projects
• SYSC arrangements/Governance reviews
• Advice on sound controls and procedures
• ICAAP/liquidity policy arrangements/Pillar 3 preparations
• Financial reporting
• FSA authorisations
• SIF review and assessment/Individual FSA approval/interview preparation
• Compliance health checks/ongoing compliance support
• Suitability reviews

For further details please contact Monique Melis, Andrew Lowin or your usual contact at Kinetic Partners.