Investment Compliance
At Compliancy Services we can provide comprehensive compliance support for a wide range of investment companies. These include:
- IFAs
- Stockbrokers
- Asset Managers
- Fund Managers
- Qualifying MiFID Firms
We will provide the documentation and tools you need to achieve compliance, and then, through a process of regular monitoring, we will ensure that you stay compliant - and it is all done at highly competitive rates.
Fund and Asset Management
We will ensure that your controls and operations meet the regulator’s required standard. Our consultants have extensive experience in a wide range of fund management disciplines, including the following:
- Advising asset managers on the launch, restructuring, promotion and operation of UK unit trusts and open-ended or closed-ended investment companies (ICVCs), UCITS funds and other funds including hedge funds
- Collective investment schemes. Financial promotion issues and exemptions
- Asset Management agreements, FSA and other regulatory/legal issues
- Advising on all forms of property fund (closed and open-ended, corporate and partnership, onshore and offshore)
- The negotiation and documentation of regulatory aspects of corporate transactions, including regulatory due diligence in mergers and acquisitions of financial services companies and the buying and selling of funds between funds providers
- The representation and advice on FSA investigations, disputes and FSA disciplinary matters
To find out more Click here to contact us
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