Capital Markets Advisors

Turning Change Into Opportunity

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For most financial firms, traditional back-office functionality has become commoditized and services are being outsourced. In addition, compliance ahs been traditionally thought of as a back office function. Also with the financial regulations in 2011, most firms must reconsider their approach. Firms today, need to shift their mindset about the traditional division of functions between the front, middle and back office to a more simplistic view of how they process business through the organization; from the inception of a new account to the settlement of a trade and all necessary back-end compliance and record keeping. Without this type of thinking, most financial firms will not be able to keep pace with upcoming regulations.

In order to be compliant with these new regulations, firms need to realize that compliance now starts with the front office.

CMA can assist in this by providing a strategy that encompasses business processes and technology that is conducive to regulatory compliance and improves processing efficiency.

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