Capital markets

Capital markets businesses have experienced unprecedented reforms over the past decade, including a G20-led overhaul of regulation for derivatives markets, and significant increases in the depth and breadth of market conduct rules and global codes. Capital markets regulation has also been fundamentally reshaped by regional and national rule re-writes, such as the EU review of how markets function under MiFID II, and the US  Dodd-Frank Wall Street Reform Act.

This pace of change looks set to continue as firms and regulators around the globe now grapple with the implementation of Brexit and fallout from the Covid-19 pandemic.

We help capital markets businesses of all shapes and sizes

We provide advice to a diverse and international client base, spanning exchanges, central clearing counterparties (CCPs), central security depositories (CSDs), trading platforms, benchmark administrators, investment banks, specialist brokers and proprietary trading firms.

Targeted support for early-stage organisations

We can help you understand your regulatory obligations and obtain authorisation. If you’re a newly authorised firm, we will advise on efficient ways to remain compliant.

Ongoing advice and in-depth reviews for mature businesses

We work with some of the longest-established names in the industry, providing in-depth reviews of compliance arrangements in the form of health checks, assurance reviews and regulatory due diligence. We aim to form long-term partnerships: many of our clients have worked with us for five years or more.

Help with all your regulatory compliance needs

Bovill Newgate has an unrivalled breadth and depth of expertise across all aspects of today’s regulatory regime. Our team includes dedicated specialists for client assets, market abuse, exchange rules, financial crime, transaction reporting, governance, derivatives trading and clearing and benchmark administration.