The types of firms we work with

  • Asset Management

    We provide services to a variety of Asset Managers across an increasingly diverse range of asset classes. Many of our team have worked in the Asset Management sector and they understand the regulatory challenges you face.

    Asset Management
  • Broker/Dealers

    We have been helping Broker Dealer firms with their compliance obligations since we were founded in 2003, with firms ranging from new start-ups to fully established firms looking for a review of their compliance arrangements.

    Broker Dealers

You might be interested in these services...

  • Ongoing Compliance

    Whether you’re seeking a compliance partner for the first time, or want to benchmark your current provider we offer a genuinely fresh perspective.

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  • Training

    E-learning, classroom training and board briefings to help firms meet FCA training and competence obligations.

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  • FCA Authorisation

    If you want to provide regulated financial services, we can help you avoid pitfalls and delays with your FCA authorisation application.

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Factsheets and guides

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iStock 479324890 Event

Payment Services Financial Crime & Compliance Forum 2024

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Safeguarding Guide v2 Factsheet

Top 10 Safeguarding Practices

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iStock 1174872671 Article

Capital Markets Newsletter February 2024

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TR Thumbnail final Talking regulation

Talking Regulation: Temporary Permissions Regime numbers

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Our team

Our team of ex-regulators, industry practitioners and subject matter experts help to minimise the regulatory burden, offering practical, usable advice and solutions that work for our clients and the Regulator.

It’s through the breadth and depth of their collective expertise and experience that we provide an outstanding service and ensure that compliance makes a positive contribution to a firm’s day-to-day running of their business.