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Capital markets and regulatory consulting

Overview

Organizations today face more complex risks than ever before. Increased volatility in foreign exchange rates and commodity prices has heightened financial risk, resulting in potentially adverse impacts on earnings. Rising expectations among boards of directors, audit committees, regulators, shareholders and other stakeholders are pressuring businesses to enhance their capital market and regulatory management. The situation is doubly challenging for regulated companies, where regulatory breaches frequently result in penalties, fines, management liability and reputational damage.

To help you manage these risks, Deloitte offers a wide range of solutions:

  • Risk strategy. Adopt the analytic tools and methodologies you need to identify, measure and control market and credit risk. We also offer approaches to help you optimize your commodity portfolios.
  • Credit risk management. Minimize risk exposure and improve credit processes and practices related to counterparty evaluation, credit scoring and credit risk mitigation approaches.
  • Transaction infrastructure. For commodity marketing and trading operations, or organizations exposed to commodity prices or foreign exchange risk, we can design new, or assess existing, organizational design, business processes, risk methodology and supporting tools and technology against leading practices.
  • Trading and risk information technology. Determine how well your trading and risk systems support your business requirements, apply proven methods to select new trading and risk support systems and tools, and use proven approaches and tools to implement effective commodity trading risk management systems.
  • Quantitative services. Design or assess the quality of your risk models associated with financial and commodity market trading, including forward curve development, portfolio valuation, “at risk” models and real option analysis.
  • Compliance planning. Prioritize your regulatory risks, identify and document mitigating controls, prepare for a regulator’s field review and focus resources using a risk-based compliance planning process.
  • Anti-money laundering risk assessment. We can help you design a customized anti-money laundering (AML) risk assessment solution to enhance your regulatory compliance, facilitate AML reporting to senior management and the board, and identify AML risk in new products and jurisdictions.
  • Third-party compliance reviews. Independently assess the effectiveness of your compliance programs and identify opportunities for improvement by sending our trained “mystery shoppers” to interface with front-line personnel.
  • Compliance governance. Review your compliance mandate, structure, roles and responsibilities, processes, staffing and reporting to assess the performance of your compliance function against leading industry practices to meet stakeholder and regulator expectations.

Other services

Information & controls assurance Information & controls assurance
Our information & controls assurance practitioners mitigate the risks associated with your internal systems, business processes, projects, applications, data and third-party reliance.
Data risk services Data risk services
Our data risk services offer a proven methodology for identifying, analyzing and quantifying data risks. By enhancing data quality, data accuracy, data governance and data analytics, organizations can transform their data from a corporate liability to a corporate asset.
Governance & risk Governance & risk
By benchmarking your governance practices against your peers, our governance solutions team can help you establish a competitive edge and gain the insights you need to align your executives’ expectations with your employees’ actions.
Internal audit & control solutions Internal audit & control solutions
Using sophisticated diagnostic tools, we help organizations identify and prioritize business risks, create a common risk language of terms and definitions, determine appropriate risk management strategies and deploy enabling technology to better manage your risks.
Security, privacy & resiliency Security, privacy & resiliency
To enhance the security, privacy and resiliency of your organization, you need to work with trained professionals. Globally, we have over 1,100 Certified Information Systems Security Professionals (CISSP) and more than 2,000 Certified Information Systems Auditors (CISA) and Certified Information Security Managers (CISM).
Technology risk governance Technology risk governance
Our multi-functional professionals have a strong global presence and experience across virtually every industry. We can help you strengthen your IT governance practices and enhance the effectiveness and efficiency of your technology projects.
Deloitte Learning Academy Deloitte Learning Academy
Our established relationships with the Information Systems Audit and Control Association (ISACA); the Institute of Internal Auditors (IIA); the Institute of Corporate Directors (ICD); and the (ISC)² Security Transcends Technology enable us to prepare you for a wide range of certification programs.

Featured insights

  • DICO webinar: The five components of an effective enterprise risk management (ERM) framework
    Watch this DICO webinar to learn Deloitte’s perspective on leveraging enterprise risk management to create value while meeting regulatory requirements.

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