The types of firms we work with

  • Hedge Funds

    Our clients operate across a diverse range of investment strategies including equity, bond, macro and commodities, with business models varying from fundamental/bottom-up to ESG to quantitative and high-frequency trading.

  • Corporate Finance

    We work collaboratively with corporate finance advisers to implement and maintain their FCA compliance programmes. Our client base includes a diverse range of corporate finance firms and range from large multinationals to boutique, specialist advisory firms.

  • Brokers

    Our clients (both brokers and market makers) operate in diverse asset classes including equity, bonds and commodities, in both professional and retail spheres. We work with them to both implement and maintain their compliance programmes so it is a fully integrated part of their business.

  • Private Markets

    We work with private markets managers and advisors to implement and maintain their FCA and SEC compliance programmes. Our clients operate across a diverse range of investment strategies including private equity, private debt, venture capital, and real estate fund managers.


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

The Difference Between FCA Authorisation and Being an AR 1000x756 Factsheet

The Difference Between FCA Authorisation and Being an AR

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CFRC 1000x756 Factsheet

Corporate Finance - Do I Need Permissions for Retail Clients?

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MTF 1000x756 Factsheet

Multilateral Trading Facilities

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FCA licence options Investment Firms 1000x756 Factsheet

FCA Licence Options for Investment Firms

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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.