Investment & Capital Markets

Overview

The Investment & Capital Markets sub-industry can be broadly categorized into capital markets, which include primary and secondary markets, and investment banking, which includes areas such as mergers and acquisitions (M&A). In primary markets, companies issue new securities, whereas in secondary markets, investors trade previously issued securities. Restructuring in investment banking involves assisting companies in financial distress with restructuring their debt and operations, while leveraged finance involves providing loans to companies with a high level of debt. These sectors facilitate companies to raise capital and offer investment opportunities.

Capital Expert Services works closely with investment banks, asset managers, wealth managers, broker-dealers, exchanges, and trading firms to offer financial advisory services. We provide stakeholders with market entry and expansion strategies for competitive landscapes, as well as execution quality and liquidity strategies. We assist with portfolio and asset allocation as well as investment analytics, while also guiding stakeholders in risk management and regulatory compliance. 

Our core services include digital transformation, operational efficiency, wealth and asset management advisory, and organizational transformation. We also offer due diligence for asset managers, broker-dealers, trading firms, and post-merger integration of platforms, teams, and portfolios. Our strategy is focused on sustainability and responsible investing.

Asset Management

Asset management, often referred to as the “buy-side”, is regulated by bodies like the Securities and Exchange Commission (SEC), which ensure transparency, investor protection, and market integrity. Apart from regulatory compliance and risk management, CapEx offers complete assistance to stakeholders in asset management in the following ways:

  • Portfolio Strategy & Asset Allocation: Design multi-asset, risk-adjusted investment strategies and conduct scenario analysis to optimize performance.
  • Investment Product Development & Structuring: Guide the creation, positioning, and lifecycle management of mutual funds, ETFs, alternatives, and ESG products.
  • Performance Measurement & Analytics: Provide portfolio performance attribution, benchmarking, and predictive analytics for informed decision-making.
  • Operational Excellence & Process Optimization: Streamline middle- and back-office workflows, trade processing, and fund administration to enhance efficiency.
  • Technology & Digital Transformation: Advise on digital platforms, cloud adoption, AI, and advanced analytics to improve front- and back-office operations.
  • M&A, Strategic Partnerships & Due Diligence: Evaluate acquisitions, fund mergers, and platform investments, including integration planning and synergy analysis.
  • ESG & Responsible Investing Advisory: Integrate ESG factors, sustainable investment frameworks, and climate-risk assessments into portfolio and product strategies.

Investment Banking

Investment banks are an essential link between entities that need capital and the markets where that capital can be raised. They are central to the flow of capital between savers and businesses, operating in both the primary (new issues) and secondary (existing securities) markets. Investment banks also engage in trading, market-making, and securities trading for equities and fixed income (FICC). CapEx offers assistance to stakeholders in this sector by:

  • Deal Strategy & Corporate Finance Advisory: Guiding clients in identifying strategic deal opportunities and optimizing capital structures to maximize long-term enterprise value.
  • M&A, Transaction Support, & Deal Readiness: Assessing targets, validating market assumptions, and preparing organizations for seamless acquisitions, divestitures, or mergers.
  • Capital Raising & Financing Strategy: Developing financing plans, equity stories, and debt/equity issuance strategies that strengthen investor appeal and funding outcomes.
  • Valuation & Financial Modeling: Providing independent valuation analysis and decision-ready financial models to support transactions and corporate planning.
  • Restructuring & Turnaround Advisory: Designing liquidity stabilization, creditor negotiation, and operational turnaround strategies for distressed businesses.
  • Risk, Compliance, & Regulatory Support: Ensuring deal processes and disclosures align with regulatory requirements and strengthen governance for capital markets activities.
  • Operational & Organizational Improvement: Optimizing investment banking operating models, team productivity, and resourcing to scale deal capacity.
  • ESG & Sustainable Finance Advisory: Integrating ESG considerations into due diligence, transaction strategy, and sustainable finance offerings for clients.

Exchanges, Multi-Sector Holdings

Financial Exchanges & Data is a sub-industry of Diversified Capital Markets in the GICS structure that includes companies that operate stock exchanges or provide financial data services. Another sub-industry,  Multi-Sector Holdings, comprises companies that hold a diverse range of businesses across multiple sectors where no single sector generates the majority of revenue or earnings. Besides regulatory compliance and governance advisory, CapEx guides stakeholders in both sectors through:

  • Market Structure & Strategic Positioning: Helping exchanges and holdings assess market architecture and competitive dynamics to strengthen strategic positioning and product relevance.
  • Product & Listing Strategy: Guiding the development, pricing, and optimization of trading, indexing, and listing products to attract issuers and grow volumes.
  • Trading Platform & Technology Modernization: Advising on adopting latest trading engines, market data systems, and digital infrastructure to enhance speed, resilience, and scalability.
  • Market Data, Analytics, & Monetization Strategy: Building commercial models that maximize the value of market data through pricing, analytics enhancement, and new distribution channels.
  • Operational Excellence & Exchange Infrastructure Optimization: Streamlining clearing, settlement, and custody operations to reduce operational risk and improve market stability.
  • Investor, Issuer, & Participant Engagement Strategy: Developing targeted engagement programs to attract investors, brokers, and issuers while expanding ecosystem participation.
  • Multi-Sector Portfolio Strategy & Capital Allocation: Supporting strategic capital deployment, portfolio optimization, and prioritization of growth opportunities across diverse sectors.
  • M&A, Partnerships, & Ecosystem Expansion: Evaluating acquisition targets, partnership opportunities, and integration pathways that strengthen the exchange or holding ecosystem.
  • Monetization & Revenue Diversification: Identifying and structuring new revenue streams beyond trading fees through data services, technology licensing, and emerging asset classes.

Challenges in Investment & Capital Markets

  • Market volatility and uncertainty: Frequent fluctuations in equity, fixed income, commodity, and FX markets impact trading profitability, asset valuations, and investor confidence.
  • Regulatory pressure and compliance complexity: Increasing global and local regulations (SEC, Basel, Dodd-Frank) raise operational costs and require constant adaptation.
  • Technology disruption and digital transformation: Rapid adoption of electronic and algorithmic trading, cloud platforms, and fintech solutions creates pressure to modernize systems while managing integration risks.
  • Cybersecurity and data protection: High volumes of sensitive financial and market data make firms targets for cyberattacks, fraud, and insider threats.
  • Liquidity and funding constraints: Market shocks or economic stress can strain liquidity, margin requirements, and capital allocation for trading and investment operations.
  • Operational risk and trade settlement failures: Complex trade lifecycles across multiple instruments and markets increase the likelihood of operational errors, reconciliation issues, and settlement failures.
  • Competition and margin pressure: Intense competition among brokers, exchanges, and asset managers compresses spreads, fees, and profit margins.
  • Risk management and model reliability: Overreliance on models can lead to mispricing, underestimation of risk, or failure to capture systemic market shocks.
  • ESG and sustainable investing integration: Incorporating ESG factors and climate-related risks into investment strategies is complex, requiring robust data, reporting, and governance frameworks.

FAQs

  • Yes. We support market data strategy, monetization, advanced analytics, portfolio attribution, and predictive modeling for investment and trading decisions.

  • We support investment banks, exchanges, broker-dealers, asset managers, trading firms, and multi-asset investment platforms across equities, fixed income, derivatives, and alternative markets.

  • We develop market, credit, liquidity, and operational risk frameworks, validate models, and implement stress-testing and scenario analysis programs.

  • Yes. We ensure alignment with SEC, MiFID II, EMIR, Basel, and other local and global regulatory requirements, including reporting, governance, and surveillance.

  • We provide due diligence, integration planning, and strategic advisory for exchanges, asset managers, trading platforms, and capital markets businesses.

  • We combine deep industry expertise, regulatory insight, advanced analytics, and practical implementation support to enhance performance, reduce risk, and drive strategic growth.

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