Fund management
Businesses in the fund management sector operate in a continually evolving regulatory framework, shaped by both domestic reform initiatives and broader international standards. Against this backdrop, fund management firms must navigate increasing complexity, regulatory divergence, and heightened expectations around governance, transparency and investor protection.
Effective compliance is therefore critical not only to meet regulatory obligations but also to support sustainable growth and operational resilience in a changing landscape.
Fund Managers
We provide tailored compliance and regulatory advisory services to a broad range of fund and asset managers. As experts on AIFMD and MiFID, our expertise spans hedge funds and alternative investment strategies, private equity and venture capital firms (including EIS managers), and vertically integrated fund managers. We also support Investment Trusts and retail-focused fund structures such as UK and EU UCITS.
Our team understands the nuances of different operating models and the regulatory challenges each faces, enabling us to deliver practical, commercially focused guidance aligned to your business.
Custodians and Administrators
Custodians and administrators play a critical role in the investment ecosystem, and we understand the breadth and complexity of the services you provide. Even firms supporting others may require specialist advice when addressing regulatory developments or technical compliance matters.
We offer flexible, expert-led support to help you manage regulatory change, enhance your compliance framework, and navigate evolving obligations effectively.
Advisers and Arrangers
We work closely with advisers and arrangers who require support navigating complex regulatory obligations. Whether you are advising offshore managers, promoting third-party investment products, or assisting with transactions, we provide clear, pragmatic guidance to help you operate with confidence within the regulatory perimeter.
Our approach is designed to reduce the compliance burden while ensuring your activities remain fully aligned with applicable rules and expectations.
Our Approach to Compliance
We believe effective compliance should enable, not hinder, your business. Our approach is grounded in delivering clear, practical and commercially focused advice that helps you meet regulatory expectations while supporting your strategic objectives.
Our support is flexible and scalable; whether you need ongoing compliance oversight, assistance with a specific regulatory issue, or support navigating change.
Above all, we aim to build long-term partnerships, providing dependable expertise as your business evolves.
Our Services
FCA applications
We support firms through all aspects of FCA engagement, including new firm authorisations, fund notifications and Variation of Permission (VoP) applications to add or remove regulated activities or instruments. We guide you through the process efficiently, ensuring submissions are clear, accurate and aligned with regulatory expectations.
Training
We deliver targeted compliance training for senior management and staff, helping ensure your team understands key regulatory requirements, responsibilities and best practices. Our sessions are practical, relevant and tailored to your business activities.
Technical advice
Regulatory Intervention Support
If you are subject to FCA queries, reviews or enforcement activity, we provide experienced support to help you respond effectively, manage risk and navigate the process with confidence.
Ongoing Compliance Monitoring
We deliver structured compliance monitoring programmes, designed to assess the effectiveness of your controls, identify gaps and support continuous improvement in your compliance framework.
Thematic Reviews
We complete thematic reviews focused on providing assurance on or advice on key areas of regulatory risk. These reviews may be driven by internal priorities or in response to areas of heightened regulatory scrutiny, where supervisors have identified particular risks or expectations.
We deliver targeted compliance training for senior management and staff, helping ensure your team understands key regulatory requirements, responsibilities and best practices. Our sessions are practical, relevant and tailored to your business activities.
Regulatory Change Projects and Thematic Reviews
We help firms prepare for and implement regulatory change, as well as respond to industry-wide thematic reviews. Our approach ensures you remain aligned with evolving requirements while minimising disruption to your operations.