Industry
Governance and risk advisory for prop trading firms
Risk, governance, and licensing readiness for prop firms scaling into regulated markets.
Industry risks
Key regulatory and operational risks
Common exposures regulators focus on for this industry.
- Insufficient governance over funded account models and payouts
- Vendor oversight gaps in trading technology stacks
- Regulatory ambiguity around client classification and marketing
Relevant services
Recommended services
Aligned services tailored to your operating model.
Risk Management & Internal Audit
Independent assurance that governance, controls, and reporting stand up to regulator and board scrutiny.
Brokerage Setup & Technology
Operating model, vendor due diligence, and control design for brokerages preparing to launch or scale.
Strategic Business Development Advisory
Go-to-market planning, partnership strategy, and regulator-aligned growth models for financial services firms.
Operating model
Operating model considerations
Decisions that shape regulatory expectations and control design.
- Document risk appetite and funded account controls
- Establish vendor oversight and SLA governance for critical platforms
- Create audit trails for payouts, rule enforcement, and dispute handling
Case study
Related execution example
An anonymized engagement relevant to this industry.
FAQ
Industry questions
Answers to common questions for this industry.
Can you help assess regulatory exposure for prop models?
We map the regulatory perimeter and assess where oversight or licensing may be required.
Do you advise on technology and vendor risk?
Yes. We review vendor controls, SLAs, and evidence requirements.
Is this relevant for firms not yet licensed?
Yes. We help define the readiness roadmap before licensing becomes necessary.
Need industry-specific advisory?
Align your model with regulator expectations
We will map the right licensing path and operational controls for your industry.