We welcome the opportunity to assist the client in a rapidly evolving regulatory, political and investment environment.

Our basic approach is to supply tools and resources that can expand the reach and capabilities of the client’s in-house team, together with advice on the most efficient ways to pursue the client’s goals.

The approach and specific plans we put in place for our clients are always customized to meet their unique circumstances and needs. In general, however, the key elements of the services we would provide the client are:

Facilitate Regulator and Policymaker Outreach

We serve clients by developing and maintaining strong working relationships with senior officials and personnel within the relevant regulatory agencies and legislative bodies. Specifically, we ensure that the client has timely and accurate intelligence regarding developments impacting the client. In addition, we provide the client with ongoing information about policy initiatives addressing issues of significance to the client.

We also organize meetings with key policymakers and regulators. Working with the client, we aim to enhance the client’s position as a thought leader and trusted resource on issues in their relevant field of expertise. By educating these stakeholders about the benefits of appropriate regulatory oversight, we develop relationships that will safeguard the interests of the client.

Monitoring of Key Regulatory and Legislative Developments

We provide a wide range of tailored monitoring services and reporting tools for the client. These include: real time alerts on key developments on policy and legislation; calls with clients to provide feedback on areas of interest; and summaries and analysis of significant regulatory and legislative proposals and initiatives.

Preparing Responses to Regulatory Proposals, “White Papers,” and Briefing Materials

We assist in the production of comment letters in response to regulatory proposals, “white papers” or thought pieces, and briefing materials. These materials can be used to support other client efforts, such as a method to connect with regulators and other interested parties to get the client’s message out more broadly or as a tool to distribute to relevant parties as a marketing piece.

Increasing Institutional Investor Outreach and Public Outreach and Visibility

One of Capital Markets Strategies’ strengths is its long-term relationship with the institutional investor community including traditional asset management firms, hedge funds, pension plans, insurance companies, and other institutional investors. These relationships prove valuable for many clients in better positioning them with investors in the United States and globally.

The focus of an outreach plan is on introductions to the appropriate individuals within the institutional investor community to build relationships with key players of value to the client, as well as to certain groups and trade associations that can assist in the outreach to institutional investors.

Given our experience working at a financial services trade association, and frequently working with media and other relevant parties in the education and advocacy of the views of the association and its members, we also are well positioned to provide assistance to support an effective public outreach strategy.

Assistance with Organization of Conferences, Webinars and Other Events

We have significant experience in all aspects of the planning, production and operation of major conferences and other events around the globe that prove valuable for supporting clients’ advocacy and policy needs.

As such, working jointly and cooperatively with clients, we conduct (or assist with) all aspects of event organization, including the planning, operation, and execution of the event.

Financial services issues for which we have organized events have included: ETFs and their impact on the capital markets, best execution; soft dollars and the future of research; fixed income trading and related market structure developments; the impact of global trading developments on asset managers, and the impact of MiFID on institutional investors.

Providing Best Execution and Trading/Market Structure Consulting

We assist clients in understanding the impact of changes to trading and market structure on their best execution responsibilities and other responsibilities relating to the trading function.  We go beyond helping the client understand the applicable regulation by also assisting in the practical application and impact of changes to the client.

We also assist clients in determining the best options surrounding the tools, technology, and vendors available and provide recommendations surrounding trade execution and transaction cost analysis, among other areas, all to help ensure compliance with applicable rules and regulations.

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