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 177123758 v2 Article

Regulatory Permissions: Use it or lose it!

Read more
TR Thumbnail final Talking regulation

Talking Regulation: How has the efficiency of FCA applications for authorisation progressed in 2022?

Read more
iStock 927319980 Event

How to deal with a transforming FCA: Wind-down Planning

Read more
iStock 526805931 Article

Sneaking in the back door? CiCs and VoPs are starting to raise some alarm bells

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.