KPMG Investment Dealer | KPMG | CA

Investment Dealer

Investment Dealer

KPMG’s Investment Dealer professionals work with IIROC and MFDA regulated organizations-from full services dealers to boutique firms and mutual funds.

KPMG’s Investment Dealer professionals work with IIROC and MFDA regulated organizations.

Navigate capital market volatility

Capital market volatility has put significant strain on investment dealers. Beyond heightened regulatory oversight on capital requirements, business conduct and trading practices, investment dealers must contend with shifting customer dynamics, rising cost pressures and an ongoing trend towards industry consolidation.

KPMG & your business

Working primarily with organizations regulated by IIROC or the MFDA, KPMG’s professionals bring real-world experience to every segment of the investment dealer industry—from bank-owned and independent full-service dealers to boutique firms and mutual fund dealers.

Risk & regulatory transformation

Regulatory demands to curb short selling, enhance custody requirements and improve transparency require a strong risk management framework, more robust internal controls, improved anti-money laundering practices and more focused compliance reviews.

Operational transformation

Help strengthen fund structures and operational efficiency by improving your tax management, business modeling, product design, deal sourcing and M&A practices (from due diligence to post-merger integration).

Customer experience & digital transformation

Assist in improving customer and advisor service with more advanced strategies for data aggregation and analytics, fee transparency and consumer conduct practices.

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