Asset management

The regulatory burden on asset managers continues to grow, demanding more and more time and effort. At the same time, the industry is evolving, as innovative technology and new investment opportunities bring new challenges. There’s no sign these pressures will let up any time soon.

We’ve been helping asset managers with compliance for twenty years. We’re technical specialists. Present us with a complex problem and you’ll have our immediate attention, and you can be confident that our detailed knowledge and practical approach will guide you to the best possible solution.

Joining the international dots

With offices in the UK, US and Asia, we’re experts in regulation across different jurisdictions. Unlike boutique local firms with only one specialism, or local offices of large multinationals, our joined-up team helps clients work together across their different offices, helping to share best practice and promote efficiencies.

Independent credibility

Bringing in a highly experienced third party can make it easier to get your team aligned. We can coach senior individuals to help them understand their conduct risk. Our team includes ex-regulators as well as lawyers, consultants and compliance officers, so we know just what regulators are looking for.

Assurance that you’re getting it right

Whatever the regulatory area, we can give you peace of mind. We can perform risk assessments and gap analyses ahead of new regulations, or on a regular basis to make sure you’re not missing anything. We can conduct board level reviews, and we can help you understand how your controls compare with the wider market.

Specialists on tap

Whatever the size of your compliance function, there can be times when you need extra support. We can help, whether you need support for a major change project, cover for a staffing gap, or additional subject matter expertise. We can move quickly, and our experienced, practical people will work with you in whatever way you need.

Supporting regulatory compliance across the asset management industry

We have helped hundreds of fund managers. We work for the buy side, sell side, trade bodies, investor groups and regulators, so we are able to consider the aims and effects of regulations from all perspectives. Below are some of the types of clients we help.

  • Private equity

    We work for some of the best known private equity groups in the world. Our clients include those who operate in primary and secondary markets, and those authorised to advise and arrange transactions and manage and operate private equity funds. As well as advising the funds themselves we also work extensively with investment teams, supporting them with the regulatory aspects of acquiring or exiting regulated businesses. 

  • Venture capital

    We understand the complexities of venture capital products. We give expert regulatory advice at product design stage and support our clients in the distribution of tax efficient products to the retail market. We have always been an active supporter of the EISA and wider industry. 

  • Hedge funds

    We are not run-of-the-mill hedge fund compliance consultants. Our specialist teams in pre-trade and post-trade compliance and prudential regulation and our expertise across different regulatory rule books make us ideally place to support hedge funds with complianceWe’re active members of AIMA in all our regions and our clients range from start ups to household names.  

  • Real estate

    Many of the best known firms in the property sector, nationally and globally, are our clients. But we don’t just support real estate managers and advisers, we also work with trade bodies and other service providers like commercial lenders, mortgage providers, insurers, depositaries and administrators. As a result, we have a deep and broad understanding of the property industry.  

  • Placement agents

    It is no accident that our offices are based in the main distribution hubs for private capital. We have long standing relationships with a number of the global top 10 placement agents in terms of aggregate capital raised. We can help with marketing notifications and our network can help with local rules if we need. We understand what good market practice looks like. 

  • Fund administrators

    As well as our broad experience across the asset management industry, we have real subject matter specialists who can help fund administrators. We have dedicated teams focused on client money and assets, we understand prudential rules, and we particularly like advising o innovative structuresWe work closely with a number of depositories – in fact we helped the FCA in preparing its client asset guidance for AIFMD depositories. 

  • Multi-national asset management

    Our understanding of how larger asset managers operate and the specific regulatory challenges they face makes us well placed to support with a range of offerings over different jurisdictions. Recent projects have included conflicts of interest within group structures, tackling ESG across multiple jurisdictions, integration of new business lines, financial crime and governance reviews.