OTC Derivatives Regulatory Implementation

Complying with OTC derivatives regulations, across a complex global business with several disparate legal entities.

Client Challenges

Our client was looking to implement a global legal and operational framework that would comply with key OTC derivatives regulations (mainly Dodd-Frank and EMIR).

The scale and cost of change needed a practical approach for meeting regulatory requirements, and their unique and complex investment structures added additional challenges to the implementation.

Alpha Approach

  • Alpha provided subject matter expertise and programme management services. We put in a governance structure that engaged all areas of the business across several entities and geographies
  • Our work included regular liaison with C-suite executives to drive key strategic decisions and to communicate the regulatory changes
  • Alpha worked with the in-house legal team to translate complex regulatory obligations into practical business requirements. Alpha then used its deep in-house experience to advise on implementing the solution and managing effective delivery
  • The team also engaged with front office and trading teams to assess the impact of derivatives regulation and build future derivatives strategies

Client Benefits

The client were able to use our detailed subject matter expertise and thought leadership on global derivatives regulation, and used Alpha for a client-facing advisory role with the bank’s key clients.

The project successfully managed the whole regulatory lifecycle from requirements identification through to implementation and compliance monitoring. A comprehensive regulatory coverage was ensured, by putting in place a structured governance and by uniting disparate legal entities.

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Client Types

  • Global private bank & asset manager


  • CEO
  • CFO
  • COO


  • Legal
  • Risk
  • Operations
  • Front office & trading
  • IT
  • Compliance

Geographic Scope

  • Global

Fund Types

  • Varied funds across asset management and private wealth