Capital Markets Advisors

Turning Change Into Opportunity

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In order to remain competitive in today’s global marketplace, financial institutions have greatly expanded the scope and complexity of their services and activities resulting in an ever changing and increasingly complex regulatory environment. Furthermore, due to the 2008 financial crisis, consumer credit crisis, several high profile compliance breakdowns and increased emphasis on consumer protection, the federal and state regulatory agencies, investors, legislators and the general public are today more focused on financial institutions’ customer practices and regulatory compliance performance like never before. Moreover, a compliance failure can result in litigations, financial penalties, regulatory constraints and reputation damage that can strategically affect an entire organization. CMA’s financial regulatory/compliance team is well qualified to assist financial institutions in addressing these complex challenges and staying abreast of changing regulatory requirements and expectations and industry practices.

Our Solution

Our highly qualified and experienced professionals provide a full range of regulatory compliance risk management services. We do not advocate a “one-size fits all” solution; instead we offer regulatory compliance advice and solutions that are tailored to each client’s individual business needs. We provide a proven approach with the emphasis on developing innovative, low-cost approaches to managing and overseeing compliance risk. We work closely with our network to provide regulatory advisory services across all geographic locations. Our commitment to client service means that CMA brings the right skills and resources to meet your specific needs. Whatever your needs are relating to regulatory/compliance, we bring you the right people with the right experience.

Our offerings in this space are:

  • AML
  • KYC/CDD
  • Basel ll and lll
  • Dodd-Frank
  • Liquidity Reporting
  • Finra OATS
  • FATCA (Foreign Account Tax Compliance Act)
  • Regulatory Impact Assessment
  • Brokerage Compliance
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