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. You can see our range of services here

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

  • Regulators expect you to hold sufficient capital based on formulaic requirements, to regularly stress test liquidity risks and to have a robust wind down plan. Our specialist Prudential services can help you interpret the requirements and avoid common errors that are likely to lead to unwanted attention from the regulator. Find out 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, SM&CR System 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. 

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OUR TEAM

Includes ex-regulators, industry practitioners and subject matter experts

Through the breadth and depth of their collective expertise and experience, we offer an outstanding service. Reducing the regulatory burden, minimising your time and resources,  and ensuring that compliance makes a positive contribution to your business.

Meet our team