Settlements & Risk Management

1. Kepler Capital Markets maintains a robust and efficient settlement process for Fixed Income products aimed at reducing our settlement risk.

2. Our Back Office environment offers:

  • A fully straight-through-processing platform
  • A high historical matching rate
  • Pre-matching of trades and real time monitoring of the settlement status
  • A delivery-versus-payment settlement method
  • Dedicated personnel for customer support
  • Kepler settles and clears its Fixed Income trades through Deutsche Bank (cash business) and ABN AMRO (derivatives)

3. Adequate collateral is pledged with our clearers to allow Fixed Income deals to be settled on a business as usual basis. Furthermore, Kepler Capital Markets can access dedicated lines of credit granted by its shareholders to address settlement issues.

4. Risk Management department dedicated to Fixed Income Brokerage:

  • Establishment and application of internal procedures,
  • Client on-boarding with reference to regulatory questions (money laundering) and counterparty risk
  • Monitoring of trades ex-post
  • Surveillance of counterparty risk
  • Legal documentation reviews
  • Regulatory reporting

5. Contact:

Head of Fixed Income Operations & Process Control
Tel.: +33 1 53 65 35 93 / +41 22 994 1925
Fax: +33 1 53 65 36 99
Mobile: +33 6 71 57 52 47
[email protected]