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.
6 January 2025 | UK & Europe
NEWSLETTER: We’re in the final stretch before switching off for a well-earned Christmas break. T...
19 December 2024 | UK & Europe
The Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) are two key Senio...
The Treasury has now enacted the Payment Services (Amendment) Regulations 2024, implementing meas...
