Working with you
Speak to us for impartial advice - Whatever your knowledge of compliance
Our staff have a broad and deep experience and expertise in relation to a wide range of firm types and technical areas. We are confident we can assist the firm types below with all of their compliance needs.
If you require specialist assistance however and we can’t help, or others are better placed to assist, we will tell you and explain why. We maintain a broad network of experienced consultants with specialist skills who we are happy to refer work to, with no strings attached. Our priority is to ensure you get the advice and assistance you need, rather than to maximise our revenue from every encounter.
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 you face and have helped buy-side firms embed changes from MiFID II and SMCR through to SFDR and IFPR.
Corporate finance
Our team work with many corporate finance firms and have helped such firms respond to increased scrutiny by the regulator. We understand such firms have different business models, roles and will often conduct both regulated and unregulated activities. We help minimise your regulatory footprint and obligations whererever possible.
Advisers and arrangers
Many smaller firms look to consultancies for support in understand their regulatory obligation and carrying the burden. Whether you are advising an offshore manager, help promote products of third parties or assist 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. There is no need to explain this to us. 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.
Capital markets
We offer capital markets firms a flexible compliance service; we understand there can be multiple challenges and prompt assistance is needed. Internal expertise or resource may be stretched. Rely on us to provide the support you need to navigate day to day compliance issues and dealing with issues related to regulatory changes.
Retail focused
Our staff have worked with financial advisors, insurance brokers, mortgage and credit firms. We understand the FCA’s concerns with these firms. We know your business and the rules. We can help you understand the conduct and culture issues you face and guide you through the regulatory difficulties on the horizon.