Introducing Brokers

Introducing Brokers continue to face an ever changing regulatory landscape, alongside increases in the use of electronic order placement applications, the introduction of virtual currency and easy access to research data on the web.. These trends continue to grow as a new generation of investors and traders emerge, with expectations of simple self-service options and are unwilling to commit to maintaining a traditional brokerage relationship.

Introducing Brokers, like many other firms have also needed to adapt to  hybrid work and find creative ways to connect with clients, implement business continuity plans, and supervise employees to ensure compliance with regulation, including training, attestations, reviews and net capital computations. With more employees demanding flexible work options, firms will need to implement permanent solutions to adequately supervise their operation in remote or hybrid environments.

Specialist support for Introducing Brokers

We provide advice to a diverse and international client base, providing targeted support for firms at all stages; from getting set up and managing life as a newly regulated firm, through to more mature firms looking to deliver a step change to existing compliance programs.

With a breadth and depth of expertise across all aspects of today’s regulatory regime, our team includes dedicated specialists with first-hand regulatory experience and are well versed in all aspects of regulatory requirements applicable to Introducing Brokers.

We can:

• Support registration with the CFTC and NFA.
• Provide ongoing support to understand regulatory obligations and seek efficient ways to remain compliant.
• Conduct in depth reviews of compliance arrangements, running health checks, targeted reviews, mock exams and regulatory due diligence.