Case Study
Prop trading governance uplift
A prop trading firm needed governance suited to institutional partners and future regulatory scrutiny.
Situation
Initial situation
Context and objectives that framed the engagement.
A prop trading firm needed governance suited to institutional partners and future regulatory scrutiny.
Constraints
Constraints and risks
Operational and regulatory constraints that shaped delivery.
Vendor dependencies and limited oversight over funded account controls.
Approach
Our approach
The sequence of work and evidence delivered.
We established risk oversight, vendor governance, and audit routines with evidence requirements.
Outcome
Outcome
Results achieved after implementation.
Improved partner due diligence outcomes and a clear roadmap for future licensing.
Related
Related context
Industry and jurisdiction context for this engagement.
Prop Trading Firms
United Kingdom
Next step
Discuss a similar engagement
We can outline scope, timelines, and evidence requirements.