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Capital markets

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Complex rules and compliance needs can detract focus away from your capital markets business. Our professionals provide clarity to reduce risk and reach your goals.

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Get clarity on complex rules and regulations for capital markets transactions

Capital markets organizations help to drive the global economy, providing investment vehicles for consumers and institutional investors. RSM has in-depth knowledge of the industry, including offerings and operating models. We consult with a wide range of clients across capital markets, from newly chartered institutions to those with billions of dollars in assets. Our experience makes us uniquely qualified to advise clients on the latest regulatory changes and compliance requirements that affect their bottom line.

Our risk, finance and technology professionals deliver value through a comprehensive understanding of your industry, organization, goals and challenges, and the overall competitive capital markets environment.

Capital market clients benefit from our specialized experience working with:

Brokerage and trading

From heightened regulation and market volatility to the rapid evolution of technology, broker-dealers and futures commission merchants face many challenges. We’ll lead you through complex industry issues and identify opportunities to capitalize on.

Exchanges and clearing organizations

Exchanges and clearing organizations provide the security and efficiency vital for market stability. They address electronic trading expansion, strict regulation, consolidation and more. We’ll help reduce this complexity with solutions that simplify.

Investment banking

As markets fluctuate, investment banks must mitigate volatility to protect the value of products and investments. We understand the unique issues you face. We’ll thoughtfully advise you to address challenges, manage risk and create efficiencies.

Proprietary trading

Proprietary trading is high risk, high reward. Whether trading occurs at a financial institution, brokerage firm, investment bank or hedge fund, we have the industry experience to help you mitigate risk and capitalize on opportunities.

Frequently asked questions

How is artificial intelligence transforming trading strategies in capital markets?

Capital markets organizations can use AI-powered trading platforms to analyze large volumes of market data in real time, enabling faster and more informed trade execution. Low-latency trading infrastructure and direct market access technologies can minimize delays and optimize order routing. Blockchain technology can enhance transparency and reduce post-trade reconciliation times. RSM can help firms integrate these advanced technologies to bolster efficiency and reduce operational costs.

How can capital markets firms strengthen risk management amid market volatility?

Advanced data analytics and real-time monitoring can help capital markets organizations identify emerging threats and anomalies promptly, strengthening risk management processes. Implementing robust scenario analysis and stress-testing tools can also help firms anticipate the potential impacts of market conditions and regulatory changes. With industry experience, RSM advisors can help companies take a holistic, strategic approach to risk management, analysis, management and governance.

How can capital markets organizations improve operational resilience?

Distributed ledger systems and real-time reconciliation platforms can help capital markets firms reduce errors, minimize settlement times and improve transparency across transactions. By standardizing workflows and integrating advanced analytics, firms can better identify operational risks, respond to disruptions more nimbly and maintain continuity even amid market volatility. A third-party consultant can help organizations adopt these systems and tools and identify areas for improvement.

How can capital markets firms navigate compliance rules?

Real-time data aggregation and reconciliation tools can provide capital markets firms with more granular visibility into trading activity, exposure and liquidity risk across asset classes. Advanced analytics platforms tailored for high-frequency trading environments enable firms to detect anomalies and generate regulatory reports with precision and speed. RSM’s teams can help organizations integrate these solutions to equip decision makers with better information.

Where there are challenges, we see opportunities for growth

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