Wholesale Markets

Overview

The regulatory burden on wholesale firms is growing as the FCA focuses more actively on the sector, recognising the risk to markets that the sector represents. This comes at a time when the sector faces significant macroeconomic challenges, focusing attention on efficiency and cost reduction. The industry is constantly evolving for both the buy side (asset managers) and sell side (brokers and principal trading firms). The sector includes firms that provide custody and fund services - fund depositaries, custody platforms and institutional custodians with responsibility for safeguarding significant amounts of client money and custody assets, which in many cases ultimately belong to retail clients.

At Square 4 Partners, we have technical expertise across the key regulatory topics that are of most concern to the wholesale sector. We help wholesale firms keep on top of regulatory change and ahead of FCA focus areas. We support firms to position themselves to achieve compliance in a way that is not only effective but efficient, and underpinned by the right subject expertise.

Our areas of support include:

• Regulatory change management
• Regulatory transactions
• Governance and culture
• Financial crime and market abuse mitigation
• CASS
• Operational resilience
• Outsourcing
• Transaction reporting

Our expertise

At Square 4 Partners, we are more than just a consultancy – we are a collective force of accomplished experts, dedicated to advancing and transforming regulated businesses.

With decades of experience across roles at the FCA, in-house compliance functions, and a variety of consultancy firms, our teams really have ‘been there and done it’. We harness in-depth knowledge and understanding of the regulatory and operational challenges facing firms to develop and implement practical solutions specific to each firms’ business model.

Advisory
Square 4 Partners' advisory services are the bedrock of our reputation. Whether it's navigating complex regulatory changes, optimising operational efficiency or strengthening your control environment, our experts deliver customised advisory solutions to drive growth, resilience, and success.
Recruitment
Our recruitment services go beyond just matching skillsets – we match cultural fit and vision, ensuring that the professionals we place become valuable, long-term assets to your team. Our rigorous recruitment process is underpinned by our extensive industry knowledge, resulting in placements that have a lasting impact.
Resourcing
We understand that the right talent can make all the difference. Our flexible resourcing model can support your in-house teams in critical areas such as KYC, periodic refresh, remediation and other areas of operational need. Our extensive network enables us to source and place top-tier professionals who align perfectly with your organisational requirements.
Learning and Development
Square 4 Partners' learning and development programs are designed to equip your staff with the knowledge and skills necessary to stay ahead. Our customised training modules, crafted by industry experts, empower your team to adapt to emerging trends and navigate the challenges of the modern financial landscape.

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