Capital market regulation support
- Capital Market Institutions Regulations alignment
- Investment Funds Regulations guidance
Advisory Service
CMA Regulatory Advisory
Specialized support for capital market institutions under CMA regulations and prudential rules.
Client asset protection
- Prudential rules compliance
- Client money and asset protection controls
Advisory methodology
Regulatory scoping
Map applicable CMA obligations by business model and products.
Control blueprint
Design governance, segregation, and reporting controls for compliance.
Implementation
Support policy rollout, team readiness, and evidence documentation.
Regulatory readiness
Prepare for ongoing examinations and supervisory interactions.
Service deliverables
- CMA obligations matrix with role-based accountability.
- Client money and asset protection operating controls.
- Compliance reporting and governance cadence framework.
Expected outcomes
- Reduced compliance exposure
- Better supervisory readiness
- Stronger market governance posture