Capital markets

Significant global regulatory change has impacted the business and revenue of capital markets firms. Business models, product offerings, risk management, and capital requirements are all under review.

New regulatory requirements, reduced spreads and increased risk management requirements have put enormous pressure on what were once profitable products and customer relationships. While scale at some institutions may allow for increased cost efficiencies, that alone will not drive future growth. The current landscape has created an opening where firms who develop innovative new strategies can create competitive advantage while those who do not risk falling behind.

PwC assists leading broker/dealers, investment banks, exchanges, clearing houses and asset/wealth management firms on some of their most complex challenges.

Service offerings

Areas where we can help you include:

  • Strategy development (business, customer, operational, product)
  • Regulatory & compliance services
  • Risk management (operational, credit, reputation)
  • Systems & platforms: Strategy, assessment and implementation
  • Product development
  • Human capital


Contact us

Dan Ryan
Banking and Capital Markets Leader, PwC US
Tel: +1 (646) 471 8488

Nabi Niang
US Banking & Capital Markets Assurance Leader, PwC US
Tel: +1 (646) 471 5766

Kurtis Babczenko
Banking and Capital Markets Advisory Leader, PwC US
Tel: +1 (646) 428 0158

Steven Norman
Banking and Capital Markets Marketing Leader, PwC US
Tel: +1 (646) 471 5761

Ellen Rotenberg
Banking and Capital Markets Tax Leader, PwC US
Tel: +1 (646) 471 5559

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