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.
Regions
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1 April 2025 | UK & Europe
The Guernsey Financial Services Commission (GFSC) has kick-started their conflict of interest thematic review to a selection of fiduciary and investment licensees. Focusing on a variety of areas – firms…
26 March 2025 | UK & Europe
Everyone is waiting with bated breath for chapter 15 of the FCA’s safeguarding rules, due to be published in the first half of 2025. With firms being given a short…
24 March 2025 | Dubai
The DFSA’s consultation paper on the client asset regime, first issued last August, has received further amendments last week. Prompted by the regulator’s focus to protect users of the financial…
17 March 2025 | UK & Europe
It’s been quiet on the prudent segregation front over the last couple of years, but recently discussions have flared up in the CASS world with the topic being discussed in…
12 March 2025 | UK & Europe
The FCA has published the long-awaited findings from its review of financial advisers’ ongoing services. While most ongoing suitability reviews were delivered as promised, the regulator signalled concerns with reviews…
6 March 2025 | UK & Europe
The FCA’s letter to CEOs of asset managers and alternative firms underscores the regulator’s unwavering focus on market integrity, consumer outcomes, and financial crime for 2025. The letter highlights the…
3 March 2025 | UK & Europe
NEWSLETTER: We’re only into the second month of the year and the FCA is already roaring into action with Dear CEO letters, AML surveys, data requests, and transaction reporting fines.…
26 February 2025 | UK & Europe
The FCA’s adoption of “data-led” supervision has seen a deluge of data requests hit firm inboxes over the past few years. And that trend only looks set to continue: wealth…
13 February 2025 | UK & Europe
Corporate finance firms may have previously been seen as low in the FCA’s priority list, but this has clearly changed based on its latest foray into the sector. A survey…
7 February 2025 | UK & Europe
The FCA has taken enforcement action against a firm for breaches of transaction reporting requirements since they became law under the UK MiFIR. Infinox Capital Limited has been fined nearly…
5 February 2025 | UK & Europe
NEWSLETTER: We’ve entered the new year in full force, and it looks as though we’re not the only ones. 2025 begins with CFD firms grappling with last years’ Dear CEO…
30 January 2025 | UK & Europe
The FCA published a Dear CEO letter at the end of 2024, setting out its strategy for CFD firms over the next two years. The letter is addressed to CFD…
