Capital Markets Advisors

Turning Change Into Opportunity

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  • CMA’s Steven Goune was featured in the Fin Ops Report’s November 16th article on the challenges of customer account data management issues. The article also highlights CMA’s unique and efficient Data Services Utility tool to help firms become CAT-CAIS compliant in weeks, rather than rather than months or longer! Check out the full article here: https://finopsinfo.com/regulations/finras-cat-customer-account-data-management-challenge/… Read More »

  • The Fundamental Review of the Trading Book (FRTB) will have an impact on most banks’ operating and trading models, and 2021 is a critical year to make plans to deal with the complex set of requirements it introduces. Our panel of experts will share their insights on how you can address the impact and challenges… Read More »

  • Become CAT/CAIS compliant in weeks rather than months or longer. As the CAT focus intensifies on CAIS, intra & inter-firm linkages and more, CMA is a leader in the financial industry, including planning CAT Industry RoundTables, featuring legal, financial and regulatory experts from a variety of firms, and focusing on new challenges facing financial firms and… Read More »

  • ** This event has taken place. Want to view a recording of the panel or hear more about CMA’s CAT Solutions? Email us at info@capital-markets-advisors.com** On August 13th, CMA hosted a virtual roundtable discussion on the future of the Consolidated Audit Trail (CAT). Even though equity securities (phase 2a) and listed options transactions (phase 2b)… Read More »

  • On March 16, in acknowledgement of the impact of COVID-19 on market participants and their need to implement business continuity plans, the SEC issued a no-action letter for CAT reporting, valid until May 20, 2020, without deferral of any subsequent compliance dates – inadvertently creating a potential bottleneck, with reporting firms likely having to deal… Read More »

  • The General Data Protection Regulation, or GDPR, in Europe and distributed ledger technology are on a collision course. In its mission to secure individuals’ data, GDPR’s principles around data ownership, control and protection seemingly are in fundamental conflict with the ideals of blockchain’s distributed network, says George Bollenbacher, partner, Capital Markets Advisors. Speaking with TABB… Read More »

CMA is a results-oriented professional boutique-consulting firm with a specialized focus in capital markets. Our resources are highly experienced, averaging over 10 years of experience in financial services working at the major financial institutions. CMA resources bring a broad set of tools and market knowledge to firms and situations that need to be addressed with confidence in execution as well as expeditious delivery.

 

 

Values and Mission

 

Clients First – At CMA, Clients First means delivering results, keeping our clients’ best interests to heart, and delivering on our promises. We strive to develop long-term partnerships with our clients and as such provide a high-impact, collaborative approach. CMA brings the best of our team to every engagement to ensure our clients’ visions are achieved.

 

Proven Industry Experience – Our team is comprised of senior-level financial services professionals and process experts. Our objective is to address each client’s challenges, provide comprehensive advisory services and strive to deliver results. All of our professionals have significant experience in strategy, transactions, implementation, business, technology and operations.

 

Collaborative Work Approach – CMA works collaboratively with our clients, our clients’ vendors, and our clients’ partners. We work in close coordination at all levels of the organization and strive to ensure that our expertise and knowledge are transferred for ongoing use.

 

 

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