We provide services to a variety of Asset Managers across an increasingly diverse range of asset classes, including traditional assets such as transferable securities, real estate and private equity to emerging asset classes such as crypto.

Our clients operate a range of business models including fund management, delegated investment management and advisory.

Many of our team have worked in the Asset Management sector and they understand the regulatory challenges you face. We can help you determine how your service or product is categorised, who you can market to and to manage your regulatory obligations. This hands-on approach ensures you achieve your desired outcomes and is the primary reason why many of our clients stay with us for years, and recommend us to others:

  • We offer compliance consultancy and risk management outsourcing

  • We help you interpret complex regulation, and are specialists in AIFMD, FSMA, UCIS, NMPI, NRRI, PRIIPs, KIDs and more

  • Our compliance expertise spans a wide range of activities, including new authorisation, compliance monitoring, ICAAP, best execution, suitability, financial promotions and inducements, conflicts of interest, remuneration and financial crime

  • We can advise you on topical issues that are on the regulatory radar within the sector

  • Clients enjoy the use of our RegTech resources, including our client portal and e-learning platform, to support compliance management and training

With our supportive, effective approach we make sure that the recommendations we offer are specifically proportionate solutions that satisfy regulatory concerns. Supporting you with day to day regulatory compliance and helping you realise opportunities and overcome commercial challenges. 

Get In Touch

Please fill in your details below or contact us on 020 3457 3181

You might also be interested in

Brexit

Helping firms prepare their Brexit strategy and offering award winning FCA authorisation services to EEA firms that currently passport into the UK
Find out more

FCA Training

E-learning, classroom training and board briefings to help asset managers meet FCA Training and Competence obligations
Find out more

SMCR

Asset Management firms will need to implement The Senior Managers and Certification Regime by 9 December 2019
Find out more

WHAT OUR CLIENTS SAY

The exceptional client outcomes and service experiences we deliver are the result of a diverse and inclusive team that set high standards, pull together to make it happen and never settle for the status quo. 

 

See our client testimonials

Working together with Ben and the Compliancy Services team on our FCA application was a delightful experience. They devoted plenty of time to understanding our perspective and were therefore able to handle the complications of the process with ease. The team is full of thorough professionals.”

Vishal Jaiswal
VIBHS International