Clients we support
We work with firms across the financial services landscape.
We bring experience across a wide range of firm types and technical areas. We support diverse businesses with tailored, practical support to comply with regulatory obligations arising from the UK, EU and Hong Kong regulators.
Corporate Finance
Our team works with many corporate finance firms and has helped them respond to increased scrutiny by the regulator. We understand corporate finance firms have different business models and roles, and will often conduct both regulated and unregulated activities. We help minimise your regulatory footprint and obligations wherever possible, reducing regulatory risk.
Capital Markets
Our team support a wide range of Capital Markets firms, across the UK, EU, UAE, Singapore and Hong Kong. Our clients include Brokers across all asset classes, Trading Venues, Proprietary Trading firms, Commodity Trading firms, Digital Assets Exchanges and Benchmark Administrators.
We understand these types of firms operate in a landscape of high-speed innovation and are subject to ongoing rigorous oversight from regulators. We provide more than just extra capacity; we provide the deep technical expertise required to manage complex authorisations, build strong compliance frameworks, and support compliance teams on an ongoing basis.
Whether you are launching a new venture or scaling an existing business, we offer the support needed to navigate evolving regulatory hurdles without slowing your momentum.
Retail Focused
Our staff have worked with retail platforms (crowdfunding, P2Plending and wealth management), financial advisors, insurance brokers, mortgage and credit firms. We understand the FCA’s concerns with these sectors. We know your business and the applicable rules. We can help you understand the conduct and culture issues you face and guide you through any regulatory difficulties on the horizon.
Asset Managers
We work with all types of managers. We have in depth expertise of hedge funds and alternatives, private equity and venture capital firms (including EIS managers) and vertically integrated fund managers. We also work with Investment Trusts and other retail focused fund structures such as UK and EU UCITS. We understand the different business models and challenges such firms face.
Advisers and arrangers
Many smaller firms look to consultancies for support in understanding their regulatory obligations and carrying the associated burden. Whether you are advising an offshore manager, helping promote products of third parties or assisting with transactions, we understand what you do, how you operate and the regulatory perimeter.
Custodians/Administrators
We understand the role you perform and the multitude of services you provide to other players in the industry. Even firms who support others sometimes need technical help and advice on dealing with regulatory issues and changes. We can help fulfil this role on a flexible basis.
