Explore Crisil, a company of S&P Global

Formerly known as Global Research & Risk Solutions

  • Crisil Integral IQ
  • Equity derivatives
  • Investment_Banking
  • Operational Excellence
  • Post-Trade Controls
  • Pre-Trade Controls
  • Regulatory Compliance
  • Risk Management
  • Trade Controls
March 04, 2026 Content Type Case study

Strengthened trade controls of a global investment bank

March 04, 2026 Content Type Case study
 
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    About the client

     

    The equity derivatives trading desk of a global investment bank required support to address weak front office governance, incomplete product approval workflows and trade migration errors to improve profitability and ensure regulatory compliance.

     

    Our solution

     

    We enhanced the front office trade controls of the equity derivatives trading desk to prevent, detect and remediate risks before those reached the middle office or other downstream functions.

    Over 20 months, our eight-member techno-functional team designed and implemented a robust framework, comprising pre-trade, trade execution (T+0) and post-trade controls.

     

    Implementation phases
    Technology enablement

     

     

    Client impact

     

    We delivered significant, measurable improvements to the bank’s trade controls:

     

    Enhanced preventive controls

    60% reduction in T+0 valuation errors, 30% reduction in booking errors on T+0, and achievement of key performance indicator targets

    Improved the monitoring and alert system

    Timely monitoring of controls by the COO team, with dashboards and alerts


     

    Strengthened governance


    The COO team was able to follow up on and resolve all audit points and meet the regulatory requirements


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