The types of firms we work with
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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...
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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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