Our Case Studies

Contact us for specific details of our case studies.

The below list provides some headline highlights of just some of the engagements we have delivered for our clients:

  • Interim Management – Risk Management and Governance role at large Asset Manager
  • MiFID II Programme – Research and Best Execution, Advisory for Asset Manager
  • MiFID II programme – Programme Management for the delivery of multiple workstreams at a major international Investment Bank
  • Advisory, ‘Review and Recommend” assessment of trading product processes to current and future regulatory regimes for Prime Brokerage.
  • Portfolio ‘due-diligence, review’ and restructure, flows, documentation and legal review.
  • Audit and Compliance ‘Agreed-Upon Procedures’ review and training for Utility firm.
  • ‘Combined’ ‘Agreed upon procedures’ & ‘Review and Recommend’ assessment/s of trading process under MiFID and EMIR.
  • Leadership and senior management profiling, conduct, ethics and behavioural review and recommendations and coaching at global US banking institution.
  • Resourcing Secondment – Deployment of resources into line management and technical business role\s for global custodian.
  • Interim Management – Business COO including overseeing new product and business origination, client delivery at global bank.
  • New business and product origination build out including process development.
  • Business and supporting operating model review, recommendations and implementation.
  • Technology Information Security – Performed information security review including ISO27001 for UK financial services firm.
  • Fact pattern analysis and forensic review of trading activity, documented procedures and Audits, providing Expert report for a Global bankruptcy civil claim in the US court.
  • Expert Witness advisory, Expert report, Case management and detailed trading, processing, documentation and audit analysis for Hedge Fund, UK court criminal case.
  • OTC Derivatives Strategy – Part of a global review to evolve focused business strategy in reaction to the developing post trade regulatory environment.
  • CASS – Ensuring compliance with both CASS and MiFID’s Custody and Client Money regulations
  • Expert advisory, Expert report, Case management and detailed data analysis for regulatory matters for Tier 1 global investment bank.
  • Expert report, Case management and detailed data analysis for numerous cases across multiple global jurisdictions,  for a global investment bank,  including: Hong Kong, Japan, South Korea, Europe, North America, Canada, South America, Israel and Russia.
  • Group Company Entity Structures – Analysing entity relationships, structures and transactional flow. Implementing solutions to entity compression through rationalisation.
  • Jurisdictional Risk – Unwinding the cross-border legal, regulatory and process challenges to retrieve a global trading asset position inventory.
  • Stock Record forensic review and assessment for US Investment Bank – Conducting stock record forensic tracing analysis, ensuring robust client money classification.
  • Process Re-Engineering – Rebuilding and running full operations and supporting capital markets infrastructure.
  • Operational Processing Solution – Strategy, solution and delivery to migrate from a legacy Operations trade processing platform.
  • Interim management – Head of Operations overseeing build out, development, staffing and daily management.