Capital Markets

Image_Capital Markets

Financial services organizations face a challenging climate, with very little room for error to balance increased compliance demands and the need to sustain growth.

With over 40 years of industry experience serving financial services organizations, we develop solutions to assist today’s challenging and complex economic environment. Our Capital Markets practice has strong relationships with most regulatory organizations, and we have nurtured close ties with other service providers within the industry, including administrators, attorneys and investment banking professionals. Our audit, tax and business consulting professionals are committed to adding value within our services for all of these organizations.

We serve the following sectors in our capital markets practice:

  • Financial institutions—Banks and savings institutions, trust organizations, credit unions, mortgage companies, and finance and leasing companies
  • Secondary Mortgage Institutions
  • Insurance organizations
  • Specialty finance organizations
  • Broker dealers
  • Investment advisers
  • Futures commission merchants
  • Proprietary trading firms


  • MISMO (Mortgage Industry Standards and Maintenance Organization) is the new compliance recommended for all the service providers engaged in a mortgage transaction.
  • This is to facilitate a uniform data exchange to help industry participants avoid data inconsistencies due to difference in data storage and transfer methodologies.
  • MISMO provides a XML based framework for mortgage transactions. For instance Investor Reporting, Loan Origination etc. are shared/transferred between service providers.