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.
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11 June 2025 | UK & Europe
NEWSLETTER: With mid-year only a month away, the FCA has given some guidance on its priorities for the second half of 2025. The corporate offence of Failure to Prevent Fraud…
6 June 2025 | UK & Europe
Do you find it challenging to understand the expectations from the regulators as a new or small asset manager in the UK? The UK regulations, which are mostly principle-based and…
29 May 2025 | UK & Europe
The past decade has seen the wealth management and financial advice sectors undergo substantial change with the continuing merger and acquisition activity, consolidating small and regional firms into larger entities.…
28 May 2025 | UK & Europe
The corporate offence of Failure to Prevent Fraud, set out in the Economic Crime and Corporate Transparency Act 2023, comes into effect on 1st September 2025. This means that “large”…
22 May 2025 | UK & Europe
As the FCA ramps up its expectations in the payments and e-money space, a compliance monitoring programme (CMP) isn’t just for show. It’s how firms stay ahead of regulatory expectations,…
12 May 2025 | UK & Europe
The FCA has published a consultation paper on the definition of capital for investment firms, otherwise known as CP25/10. The paper aims to simplify the existing UK Capital Requirements Regulation…
NEWSLETTER: The FCA has released its first review of complaints since the inception of the Consumer Duty, homing in on the effectiveness of firms’ governance, management information, and root cause…
7 May 2025 | UK & Europe
The CASS audit busy season has ended for many firms with 31 December year ends. For CASS personnel, pushing forward with remediation should now be a priority, particularly where a…
6 May 2025 | UK & Europe
The FCA has proposed a significant overhaul of the AIFMD framework in the hopes of simplifying standards and boosting growth for medium sized funds. It should prove easier for firms…
24 April 2025 | UK & Europe
The FCA’s first review of complaints since the Consumer Duty has cast doubt over the effectiveness of firms’ governance, management information, and root cause analysis. While the regulator identified some…
22 April 2025 | UK & Europe
It has almost been a year since the first set of requirements of the Sustainability Disclosure Requirements (SDR) and Investment Labels regime came into force. At this point in the…
16 April 2025 | UK & Europe
The payments and e-money sector has evolved fast and the FCA has been working hard to keep up. Their latest portfolio letter makes it crystal clear – firms need to…
