Asset Management

Compliancy Services will help ensure that your controls and operations meet the regulator’s required standards.

Our consultants have extensive experience in a wide range of fund management compliance disciplines, including the following:

Retail and Private Client Wealth Management
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

Did you know: We also work closely with other service providers who can assist with the entire project of setting up funds, off shore or non executive directors for some funds and asset managers to provide the level of expertise they need in their business to satisfy the regulator.