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.

    Find out more
  • Training

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

    Find out more
  • FCA Authorisation

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

    Find out more

Factsheets and guides

View all resources
iStock 1181983763 Event

Webinar: Immediate Consumer Duty priorities and how to achieve customer understanding

Read more
iStock 1166187829 Article

Does the FCA consultation on enforcement signal a more aggressive approach?

Read more
faris mohammed j4df6 DS3II unsplash v2 Article

GAP Insurance – What is the current state of affairs?

Read more
iStock 1332708318 Article

Regulatory News: FCA to carry out a review of firms and how they treat vulnerable customers

Read more

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.