We’ve been helping asset managers with compliance for twenty years. Our clients are private equity and venture capital firms, hedge funds, real estate funds, placement agents and fund administrators as well as international asset managers.
From start ups to multi-nationals, we help banks navigate complexity and manage risk.
We've been supporting established and growing firms across the world, drawing on our global reach, knowledge and experience.
Our specialist wealth management team all have experience of regulating or working within the sector. Our clients are both retail and institutionally focussed managing discretionary and advisory portfolios with many offering full financial planning services.
We help firms actively manage their financial crime risks. We can conduct healthchecks; perform risk assessments; help with policies, governance and training; and support you through regulatory visits.
We help businesses engage in regulated activities more quickly than it takes to obtain authorisation from the FCA.
Whatever the reason you’ve heard from the regulators, we’re here to help. And our role as a skilled person for s166 work means we have a very clear understanding of the regulators’ expectations.
The Gateway is an innovative online compliance tool developed by our experts to streamline your compliance infrastructure. It enables firms to efficiently monitor and track employee compliance filings, including personal account trading and gifts and benefits reporting.
11 September 2024 | UK & Europe
On Tuesday this week, former Swedbank CEO Birgitte Bonnesen was found guilty of gross fraud by a ...
4 September 2024 | UK & Europe
NEWSLETTER: It doesn’t seem that long ago since the FCA wheeled out their new four-year strategy,...
30 August 2024 | UK & Europe
The FCA has recently published a thematic review covering 67 manufacturers and distributors of ge...
